Compliance Monitoring Analyst

CLARC Recruitment
London, United Kingdom
GBP45000 - GBP55000 per annum + + Bonus & Benefits
25 Jan 2023
24 Feb 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
A Private Wealth Management firm based in London that are looking for a Compliance Monitoring Analyst to join their expanding business & compliance team. An excellent opportunity for a candidate in the early stages of their compliance career looking for that next step up.

Main Responsibilities:
  • Assist in the execution of the testing required as part of the Firm's annual Compliance Monitoring Programme.
  • Assist the Compliance Monitoring Officer to carry out testing by gathering data, documents and other Management Information as required.
  • Write up findings/recommendations, agree responses with the area under review and present the findings/recommendations as part of the Monitoring Report.
  • Record all recommendations and actions resulting from reviews undertaken and pro-actively chase these until resolution.
  • Provide ad-hoc support to the wider team as required.

Job Requirements:
  • Minimum 1-2 years Compliance Monitoring experience, ideally from within a Wealth Management business.
  • Degree educated
  • Excellent communication skills, both written and oral.

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.