logo for FourthLine

Compliance Monitoring Analyst - Private Banking - Wealth Management - City, London, United Kingdom, EC1A2


Compliance Monitoring Analyst - Private Banking - Wealth Management

A Global Private Bank and Wealth Management firm are looking to hire a Compliance Monitoring Analyst based in their London Branch to assist with their expansion.

Type: Permanent.
Title: Compliance Monitoring Analyst
Salary: £50,000 - £60,000.
Location: London.

The Ideal candidate must have previously worked within a Wealth Management/Private Banking firm and have two or more years of experience within Compliance Monitoring. The company's goal for the successful applicant will be develop them into a manager. You will be working on the compliance monitoring plan that will affect the company and provide advice on how best to remain in line with regulations.

With this role you will be the first point of contact within the business for any queries that arise involving technical guidance. The team will be responsible for the oversight of Compliance Monitoring. With this level of interaction with the other departments in the building clear communication skills are a must.

Key Regulations and Characteristics:

  • Suitability and Appropriateness.
  • FCA Handbook.
  • Complaint handling.
  • Financial Promotions.
  • File Reviews
  • Two years of experience in Compliance Monitoring within Private Banking or Wealth Management is a minimum.