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- Great career opportunities
- Work with a friendly team
- Annual bonus
- The Compliance Monitoring team are involved in vital work ensuring that the Firm fulfils all FCA requirements and maintains regulatory compliance.
- The Compliance Monitoring Specialist will be responsible for ensuring that the company adheres to regulatory requirements and internal policies.Â
- This role involves conducting regular compliance audits, monitoring activities, and identifying potential areas of compliance vulnerability.
- The specialist will work closely with various departments to ensure the effectiveness of compliance programs and to foster a culture of compliance within the firm.
- Significant compliance experience within Financial Services.
- Strong knowledge of FCA handbooks and regulations.
- Analytical approach to investigations and problem solving.
- Self-starter with excellent time and workload management skills.
- We would particularly welcome applicants who hold formal compliance qualifications and/or have previous work experience within Wealth or Investment Management.
