Senior Compliance Monitoring Associate

Location: South west England (Hybrid 2 days a week in office)

Great opportunity where you will assist with monitoring and assessing compliance with all relevant laws, regulations and policies internally reporting into the Head of Compliance.

Responsibilities:

• Conduct compliance reviews to ensure adherence to laws, regulations, and internal policies.
• Assess compliance risks and develop monitoring plans.
• Collaborate with teams to ensure regulatory compliance and implement corrective actions.
• Analyse regulatory changes and update monitoring programs accordingly.
• Prepare and present compliance reports to senior management.
• Promote a culture of compliance and ethical awareness across the organisation.

Requirements:

• Experience in compliance monitoring within financial services (2nd line role).
• Previously work in a wealth/ investment manager (open to broader FS background)
• Relevant qualifications (e.g., CISI Compliance Diploma).
• Knowledge of regulations such as AML, KYC, MiFID, GDPR.