Compliance Monitoring Analyst
3-5 Years experience
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.
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