Compliance Analyst - Monitoring - 12 Month FTC

Your new company
Are you interested in exploring new opportunities in the field of compliance monitoring and assurance? Do you have experience of monitoring, testing, thematic reviews, surveillance and oversight, and risk? If the answer is yes, then you could be the perfect candidate for a Compliance Monitoring Analyst role at an organisation in Southampton on a 12-month fixed-term contract.


The organisation is a leading provider of advice, investments, and wealth management in the UK, helping over a million customers generate prosperity for themselves and their families. The Compliance Monitoring Analyst will be responsible for implementing an efficient compliance monitoring program.


Your new role

• Assisting in the planning, execution, and reporting of a range of compliance monitoring activities, including desk-based reviews, on-site visits, thematic reviews, surveillance and oversight.
• Identifying and assessing the key compliance risks and controls within the business and providing assurance of their adequacy and effectiveness.
• Escalating and following up on any compliance issues, breaches or incidents and ensuring that appropriate remedial actions are taken.
• Providing feedback and recommendations to business on how to improve their compliance performance and culture.
• Liaising and collaborating with other compliance functions, such as compliance advice, compliance policy, and compliance governance, to ensure a consistent and holistic approach to compliance.
• Supporting the development and maintenance of the compliance monitoring methodology, framework and tools.

What you'll need to succeed

• A relevant professional qualification in compliance, risk management or financial services, such as CISI, ICA, CII or equivalent, or working towards one.
• At least 2 years of experience in a compliance monitoring or assurance role within the financial services industry, preferably in wealth management or investment advice.
• A good knowledge and understanding of the UK regulatory framework and the key regulatory developments affecting the financial services sector.
• Good analytical and critical thinking skills, with the ability to design and conduct effective compliance tests and reviews.
• Good communication and presentation skills, with the ability to deliver clear and concise reports and feedback to stakeholders at all levels.
• A proactive and flexible approach, with the ability to work independently and as part of a team.

What you'll get in return

• Salary dependent on experience
• Hybrid / Remote working
• 10% Pension scheme
• 26-day holiday
• Private healthcare
• Income protection
• Life assurance

What you need to do now


If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.

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