Compliance Monitoring Analyst

Bruin Financial

Ref: 35447
Compliance Monitoring Analyst

Our client – a reputable Wealth Manager – is looking for a Compliance Monitoring Analyst to join the Compliance Monitoring team in London. The role will have great autonomy and will be perfect for a self-starter competent in carrying out thematic reviews – preferably within an asset management or another financial services institution. With opportunity to liaise across compliance, risk and legal, the candidate will be exposed to stakeholder engagement and will support the Head of Compliance Monitoring with other duties across Compliance. The salary is circa £50,000 per anum.

Role and responsibilities:

  • Assist in the execution of testing as part of the Compliance Monitoring Plan.
  • Identify need and carry out thematic reviews alongside the Head of Compliance Monitoring.
  • Regular testing, thematic and ad-hoc reviews to be carried out to ensure the business complies with regulation and legislation.
  • Suggest improvements to the design and content of test scripts.
  • Report writing of relevant findings/ recommendations.
  • Attend, record and circulate minutes of the monthly Compliance meetings.

About you:

  • Good understanding of Wealth Management business.
  • Good knowledge of the FCA Handbook and other regulations.
  • Ability to keep up to date with changing regulatory requirements and allow this to inform your reviews.
  • Degree-level education
  • 1 years’ experience in monitoring.
  • Good communication and organisational skills
  • Motivated and diligent individual


Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

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