Compliance Monitoring Assistant –Bristol

recruitukltd Salary: c£25k-£30K

My client, a leading Wealth management practice in the UK who offer holistic advice to private and corporate clients within Investment Planning, Retirement Planning, Family Protection, Mortgage Planning and Employee Benefits. They have an exciting opportunity for Self-starting and pro-active mind-set individual to join their growing and well-regarded business in the centre of Bristol.


They are currently recruiting for a compliance monitoring assistant to join the business to support the compliance monitoring manager in delivering consistent, risk based compliance monitoring service and undertake compliance monitoring activities.


Successful candidates are likely to demonstrate the following:

  • Considerable financial services industry experience.
  • Proven record of undertaking monitoring activities and reviews preferable.
  • Proven record of working in accordance with all regulatory, compliance and conduct risk policies.
  • Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance preferable.
  • Strong appreciation of the FCA Rules and associated guidance, the approach of the Financial Ombudsman Service and EU Directives/Regulations affecting the financial services industry.
  • Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
  • Solvency II knowledge desirable.
  • Ethical, principled, analytical and diligent.
  • Well organised, self-motivated and proactive.
  • Good communication skills, especially written.
  • Teamwork skills.

For more information on this role please contact Louise Bibb on 01179170416 or email Quote reference 11781

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