• Conduct compliance monitoring reviews and risk assessments across the business.
• Support the development and maintenance of the annual Compliance Monitoring Plan.
• Maintain compliance registers, including breaches, conflicts of interest and personal account dealing.
• Track and monitor remedial actions arising from compliance reviews, ensuring appropriate escalation where required.
• Monitor regulatory developments and support the implementation of regulatory change initiatives.
• Assist in the preparation of management information and compliance reporting for senior management and governance committees.

Profile

• At least 3 years' experience within a Compliance function in banking, financial services or wealth management.
• Experience conducting compliance monitoring, compliance testing, assurance reviews or internal audits.
• Good understanding of UK regulatory requirements and Compliance frameworks.
• Strong communication skills and the confidence to challenge stakeholders constructively.
• Experience within private banking, wealth management or investment management environments would be advantageous.
• ICA, CISI or other recognised Compliance qualifications are desirable but not essential.

Job Offer

• Salary ranging from £55,000 to £65,000, dependent on the level of experience.
• Permanent role based in London.
• Additional benefits to be confirmed.
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