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Compliance Monitoring; - Wealth Management

T0 £50,000
Full Time
Greater London
31-01-2024 05:18 PM

Compliance Monitoring 

Main tasks:

  • Assist with the ongoing update to Compliance policies and procedures.
  • Maintenance of the Compliance monitoring action log
  • Contribute to the development of the annual compliance monitoring plan.
  • Undertake compliance monitoring tasks, ensuring that any actions arising are appropriately agreed with business colleagues, logged and followed up.
  • Assist Compliance manager with Regulatory horizon scanning.
  • Analysis of FCA regulatory developments to understand the impact on the firm.
  • Assist with new starter inductions and general compliance training
  • Work with colleagues in the Compliance advisory team and the financial crime manager as required.
  • Ad-hoc support to Compliance Manager and Head of Compliance as required.
  • Help to provide Compliance input to company projects and initiatives as required.

General Compliance

  • Assist in various aspects of either Department’s administration, providing cover and support to other members of the Compliance team when necessary.
  • Support colleagues across the business with Compliance related queries.

Special Projects

  • Carry out and assist with special projects as required


  • Carry out and assist with other tasks required in the department as required.


  • Work within the regulatory and the Firm’s compliance framework
  • Maintain own professional competence through training and course work

Fergus Hooley


07425 325267