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Compliance Monitoring Specialist
Wealth Management – Handelsbanken
### About Handelsbanken
Handelsbanken is a relationship bank built on trust, long-term thinking and local decision-making. We provide bespoke banking and wealth management services to personal and corporate customers.
Our decentralised model ensures decisions are made close to the customer, in our branches. Our central Functions teams support the branch network by providing expertise, governance, and infrastructure to enable effective and sustainable customer service.
We are independently recognised as one of Europe’s safest commercial banks, holding the strongest credit rating among our peers. Consistently ranked highly for customer satisfaction and relationship banking, our values-led culture prioritises trust, respect, and long-term thinking.
We empower our people to use their expertise, make confident decisions, and build long-term careers. We seek individuals who share our long-term vision, want to grow, and wish to make a meaningful impact in their local community and with the Bank.
### Key Responsibilities
- Assist in delivering Handelsbanken Wealth’s annual compliance monitoring programme, focusing primarily on advice elements (investment, pensions, protection sales), the Training and Competency Scheme, and the Financial Advisers’ customer journey.
- Proactively identify control gaps and weaknesses, determine root causes, and escalate/utilise findings to propose viable solutions that mitigate identified risks.
- In collaboration with the Senior Compliance Manager, align action plans with business units and follow up to ensure risks are mitigated, evidenced, and closed as per agreed timelines. Escalate any delivery concerns.
- Contribute to the annual Compliance Risk Assessment Process, informing the annual Compliance Monitoring Programme, and continuously assess compliance risks.
- Support the delivery of Committee reporting and management information (MI) to inform senior management on compliance risks and status.
- Stay updated on regulatory developments, maintaining expertise in current and emerging trends and their impact on the company’s risk profile.
- Collaborate with the wider Compliance Team to establish in-house controls and compliance procedures while improving adherence to regulatory requirements.
- Work independently but cultivate strong relationships with the business while mentoring less experienced colleagues.
- Champion a positive compliance culture within Handelsbanken Wealth, helping teams manage compliance risks effectively.
- Maintain an independent and objective perspective on internal practices while fostering constructive engagement with stakeholders.
- Develop relationships across Handelsbanken’s compliance functions, including Handelsbanken plc (UK) and Svenska Handelsbanken AB (Sweden).
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### Requirements
Research by Harvard University highlights that women are particularly discouraged by self-doubt and not applying when unsure. If you feel your qualifications align mostly (but not entirely), we encourage you to apply anyway.
- A Chartered Insurance Institute RQF Level 4 Diploma (or equivalent qualification).
- Minimum of 5 years’ experience in compliance monitoring (or similar first/second/third lines of defence oversight roles), preferably within Wealth Management or Retail Financial Advice firms.
- Essential suitablilty-of-advice oversight (e.g., through file reviews) experience.
- Strong knowledge of FCA regulations, including:
- COBS (Client-Oriented Business Standards),
- TC (Treating Customers Fairly),
- PRIN (Principles for Business),
- SMCR (Senior Managers and Certification Regime),
- Consumer Duty.
- Advantageous: Experience with the FCA’s advice assessment tools.
- Exceptional ability to simplify complex technical information for diverse stakeholders.
- Self-motivated, responsible individual comfortable working both independently and collaboratively, with strong mentoring skills.
- Rapidly builds rapport and maintains long-term trusted partnerships with the business.
- Emphasis on accuracy, integrity, independence, and colleagueship within a small-team environment.
- Understands and champions Handelsbanken’s customer-centric culture of good order and shares our core values.
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### Why Join Handelsbanken?
We foster an inclusive environment where employees feel supported, motivated, and capable of exceptional work. Here’s what we offer:
- Years of mutual respect with a brilliant team that inspiring colleagues.
- Meaningful career development with ongoing training and professional growth opportunities.
- A flexible benefits package, including but not restricted to:
- Bespoke support programs.
- Health and wellbeing initiatives.
- Holistic compensation packages to better align with work-life balance.
### Equality, Diversity & Inclusion
Handelsbanken is deeply committed to equality and diversity in all activities, ensuring an inclusive, welcoming, and inspiring workplace. We strongly encourage applications from all backgrounds, regardless of:
- Socioeconomic status,
- Age,
- Disability,
- Pregnancy/maternity/parental status,
- Race (including colour, nationality, national/ethnic origin),
- Veteran status,
- Marital/civil partnership status,
- Religion/belief,
- Sex/gender reassignment,
- Sexual orientation.
### Application Next Steps
Your journey begins with applying. If your experience aligns with our criteria, a Handelsbanken Talent Acquisition Partner will review your materials and schedule an initial phone conversation. Following this, interviews may be arranged.
- Minimum advertisement duration: 2 weeks (with potential to extend depending on application volume).
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