Job Description

This role offers the opportunity to work across both second-line compliance monitoring and regulatory advisory, supporting the business in maintaining a strong compliance framework while ensuring activities align with evolving regulatory expectations and Consumer Duty requirements.

Working closely with senior stakeholders, you will provide constructive challenge and guidance to business areas while delivering risk-based monitoring and assurance activity.

Key Responsibilities

• Supporting the development and delivery of the Compliance Monitoring Plan
• Conducting risk-based compliance monitoring reviews, thematic reviews and assurance activities
• Providing practical compliance advice and consultancy to stakeholders across the business
• Identifying and assessing conduct risk and supporting the development of a customer-centric culture
• Interpreting regulatory developments and supporting the implementation of regulatory change
• Recommending improvements to internal controls and supporting remediation activity
• Building strong working relationships with first-line operational teams
• Supporting responses to FCA regulatory engagement, requests and thematic reviews

Experience & Skills

• Minimum Level 4 Diploma in Financial Planning (or equivalent)
• Proven experience in a 2nd line compliance role within an IFA, wealth management, or financial planning environment.
• Demonstrated expertise in file reviews and advice quality assessments.
• Strong understanding of compliance monitoring methodologies
• Good knowledge of the FCA regulatory framework, particularly Conduct of Business rules and conduct risk
• Understanding of Consumer Duty expectations
• Knowledge of financial crime and data protection frameworks
• Strong analytical, problem-solving and decision-making abilities
• Excellent organisational and stakeholder management skills

Additional Information

Applicants must be located and eligible to work in the UK without sponsorship.

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