Compliance Monitoring Analyst – Wealth Management

About the role

This position sits within a close‑knit Compliance Monitoring Team that forms part of the broader Regulatory Compliance function of a large wealth management business. You will be responsible for executing and enhancing compliance testing programmes across the organisation.

Key responsibilities

• Execute compliance monitoring tests independently and with the Head of Compliance Monitoring.
• Manage workload against strict deadlines, ensuring timely reporting and consistent delivery of scheduled reviews.
• Continuously improve test scripts and methodologies based on regulatory updates, system changes, new business activity and complaint trends.
• Gather and analyse data, documentation and management information to support the testing programme.
• Produce clear findings and recommendations, engage stakeholders to agree on responses, and present outcomes in formal monitoring reports.
• Own end‑to‑end tracking of remediation actions arising from reviews, proactively following up to ensure timely resolution.
• Provide flexible, ad‑hoc support to the wider compliance team as business needs arise.

Required profile

• Strong grounding in compliance monitoring, preferably within wealth or asset management.
• Ability to work independently, meet tight deadlines and manage multiple priorities.
• Analytical mindset with experience gathering and interpreting data and documentation.
• Excellent communication skills for stakeholder engagement and reporting.

Required skills

What we offer

• Opportunity to work within a specialist compliance team in a leading wealth management firm.
• Exposure to a broad range of regulatory frameworks and business activities.
• Professional development in compliance monitoring and regulatory risk.