Walker Crips
Compliance Monitoring Associate
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Compliance Monitoring Associate
We are looking for a compliance monitoring associate in our group compliance function at Walker Crips.
The job involves creating and developing the Compliance Plan for the Group and taking part in compliance monitoring audits, dealing with all levels of staff throughout the firm, interrogation, call listening, report writing, follow up of actions to completion, and enhancing the compliance culture.
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Requirements
Candidates should be conversant with the FCA Handbook, Data Protection, Financial Crime prevention, and other regulatory requirements, as it impacts wealth management, operations, investment advice, and financial planning.
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We are looking for experience of audit or compliance monitoring with a good understanding of financial services.
Attention to detail and a focus on identifying issues and closing actions is necessary, with the confidence to deal with objections and deliver change where necessary.
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