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The Compliance Monitoring Associate will play a key role in the compliance oversight framework, partnering with senior leaders to support regulatory recommendations, and ensuring the firm operates to the highest regulatory standards.
Applicants should have regulatory, compliance or audit experience from the Asset or Wealth Management sector, and a broad understanding of the regulations impacting the investment industry (e.g. FCA, CBI, SEC). The ideal candidate would have practical experience of SIPPs and strong knowledge of pensions and the associated regulations. Experience of compliance monitoring reviews (suitability, appropriateness etc) would also be highly beneficial. The successful will have the ability to interact with senior individuals both internal and external to the company, in order to foster positive relationships.