Search Consultancy is currently working with a leading and well established Wealth Manager who is currently looking for a Compliance Associate to join their team.

You will provide support to the financial planning team and the head of the department via undertaking desk based monitoring and risk analysis to monitor the activities across the department.

Other responsibilities will include the adoption of a new policy, process and control improvements using control metrics and business management information to identify risks and make recommendations around this.

You will also help with training and identify improvements on process this will help with improving governance and culture within the department.

Some of the other duties will include, conduct monitoring activities using a combination of regular monitoring, exception-based monitoring and thematic review work. You will be required to produce reports and analyse management information these reports will be used in various stakeholder meetings.

We are looking for someone who has previous experience in financial services ideally in the wealth management / investments experience.

  • You will have very strong excel skills and the ability to present this data to the management team
  • Experience using PowerPoint essential
  • CII Certificate level or equivalent
  • Working towards CII Diploma exams preferable

Please forward your CV for more details.

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.