Cameron Kennedy
Compliance Monitoring Associate
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Compliance Monitoring Associate - Wealth Management
Hybrid – London
We're recruiting for a Compliance Monitoring Associate to join the Group Compliance function at a well-established wealth manager in the City of London (hybrid working).
This is a great opportunity for a compliance or audit professional to step into a broad, hands-on monitoring role at a firm spanning wealth management, investment advice, financial planning, and operations.
What you'll be doing:
- Creating and developing the Group's Compliance Monitoring Plan
- Carrying out compliance monitoring audits across the business, engaging with staff at all levels
- Conducting interrogations, call listening, and evidence-based reviews
- Writing clear, well-evidenced reports and following actions through to completion
- Helping to embed and enhance a strong compliance culture across the firm
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What you'll need:
- Solid working knowledge of the FCA Handbook, MiFID II, Data Protection (UK GDPR), and Financial Crime prevention requirements
- Experience in audit or compliance monitoring, ideally within wealth management, investment advice, financial planning, or broader financial services
- Strong attention to detail with a natural instinct for spotting issues and following them through to resolution
- The confidence to challenge, handle objections, and drive change where it's needed
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If you're looking to build your compliance monitoring career within a regulated wealth management environment, we'd love to hear from you.
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