Compliance Monitoring Analyst

3-5 Years experience

The Company

Firmly established owner managed financial services business with offices throughout the UK. Offering both advisory and investment services this is a collaborative business with an open and friendly atmosphere.

The Role

A role that is based in London or Surrey requiring regional travel. A position who's primary responsibility is Compliance Monitoring, which would include investigating outstanding issues and producing a risk assessment on a quarterly basis as well as reporting non compliance issues in a timely manner.

In addition, where required, the successful candidate will be conducting AML and Data Protection guidance as well as undertaking compliance projects.

What they are looking for

Strong interpersonal skills

Experience of field based compliance monitoring

Excellent knowledge of FCA requirements as well as Pension Regulator requirements

Ability to communicate effectively across levels of seniority

Team player who is a self starter

Strong knowledge of Microsoft Office Suite and excellent report writing skills

Qualifications and Experience

3 - 5 years compliance monitoring experience

Degree educated in addition to a Certificate in Financial Planning

Exposure to corporate pensions environment

Willingness to study or currently studying towards further relevant industry qualifications