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Compliance Monitoring Analyst - Wealth Management

Entry-level at Clarc Recruitment Limited

Compliance Monitoring Analyst - Wealth Management

Entry-level at Clarc Recruitment Limited

  • LocationLondon, UK
  • Position levelEntry-level
  • Job period iconFull-time employment
  • Application deadline iconPosted on 05 Sep, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • Competitive£ 40,000.0 per year

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:

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

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