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Compliance Monitoring - Wealth Management - London, United Kingdom,


Reporting to the Head of Compliance, the successful Compliance Monitoring Officer will work within the Compliance team with a primary focus on maintaining and driving the completion of the Compliance Monitoring Programme and managing various day to day business queries and tasks.

Key responsibilities include:

  • Conducting risk based monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
  • Maintain, develop and drive the completion of the Compliance Monitoring Programme;
  • Review and approval of financial promotions;
  • On-boarding of new client and counterparty relationships;
  • Assisting with GABRIEL returns;
  • Other adhoc tasks as and when may be required within the Compliance department;
  • To assist in developing and implementing an effective compliance culture throughout the Company;
  • Contributing to the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement;
  • Assisting with the production of management information on compliance issues;
  • Keep up to date with industry knowledge and to ensure the appropriate competency levels are maintained;

Skills and experience

  • Experience working with compliance team within financial services
  • Educated to degree level
  • Strong technical knowledge of the FCA Handbook and relevant regulations
  • Strong organisational skills and ability to successfully manage multiple tasks proactively within a team environment
  • Excellent written and verbal communication skills
  • Ability to prioritise and meet deadlines
  • Good interpersonal skills and ability to work independently
  • Strong IT skills and proficiency in Excel