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Senior Compliance Analyst
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Senior Compliance Analyst
Financial Services/Wealth Management
Location: Hertfordshire
The Opportunity
An exciting opportunity has arisen to join a fast-growing, independent wealth management firm with approximately £2bn of Assets Under Management. Following continued expansion and strategic acquisitions, the business is looking to strengthen its Compliance function with the appointment of a Senior Compliance Analyst.
This is a broad, second-line compliance role offering exposure across advisory, investment management, and operational compliance. Working closely with senior members of the Compliance team, you will provide pragmatic regulatory advice, help maintain the firm's compliance framework, and ensure the business continues to meet its FCA obligations while supporting commercial growth.
Key Responsibilities
- Provide day-to-day regulatory advice and guidance to stakeholders across the business.
- Support the ongoing development and maintenance of the firm's compliance framework, policies, and procedures.
- Interpret new FCA rules and regulatory developments, assessing their impact on the business (horizon scanning).
- Assist in delivering the Compliance Monitoring Programme, documenting findings, and following up on remedial actions.
- Review financial promotions, client communications, and marketing material.
- Support the implementation and ongoing oversight of Consumer Duty requirements.
- Assist with complaints oversight, breach management, and regulatory notifications where required.
- Support Financial Crime controls, including AML, sanctions, PEPs, fraud prevention, and enhanced due diligence.
- Maintain compliance registers, including breaches, gifts & hospitality, conflicts of interest, and personal account dealing.
- Produce compliance MI and reporting for senior management and governance committees.
- Deliver compliance training and support the embedding of a strong compliance culture.
- Work closely with the business on regulatory projects, acquisitions, and business change initiatives.
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Skills & Experience
The successful candidate will have compliance experience within an FCA regulated Wealth Management, Financial Planning, Investment Management, or Private Banking environment and possess a strong working knowledge of the FCA Handbook.
You'll have experience working with many of the following regulatory areas:
- COBS (Conduct of Business Sourcebook)
- Consumer Duty (PRIN & Cross-Cutting Rules)
- SMCR (Senior Managers & Certification Regime)
- SYSC (Senior Management Arrangements, Systems & Controls)
- DISP (Complaints Handling)
- Financial Promotions Rules
- Financial Crime, including AML, Sanctions, PEPs, and Anti-Bribery & Corruption
- Data Protection / UK GDPR
- Vulnerable Customers Guidance
- PROD (Product Governance) (desirable)
- MCOB knowledge where mortgage advice forms part of the wider business (desirable)
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About You
- 3-6+ years' Compliance experience within Financial Services.
- Experience within Wealth Management, Financial Advice, Investment Management, or another FCA regulated environment.
- Strong understanding of FCA regulatory expectations and how they apply in practice.
- Experience undertaking compliance monitoring, thematic reviews, or second-line assurance activities.
- Confident providing practical compliance advice to stakeholders across the business.
- Excellent written communication, report writing, and analytical skills.
- Ability to prioritize competing workloads in a fast-paced, collaborative environment.
- Professional compliance qualifications (ICA or equivalent) are advantageous but not essential.
What's on Offer
- Join a highly respected, growing wealth management business with approximately £2bn AUM.
- Broad, varied role with exposure across all areas of compliance.
- Genuine opportunities for progression as the business continues to grow through acquisition.
- Hybrid working.
- Competitive salary and comprehensive benefits package.
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