Senior Compliance Monitoring Associate

Senior Compliance Monitoring Associate – Bath

This UK wealth manager is seeking a Senior Compliance Monitoring Officer to support the delivery of a risk-based Compliance Monitoring Plan across its financial services operations. The role covers multiple business areas, including platform services, discretionary fund management and financial advice. Working closely with the Compliance function, you will assess adherence to regulatory requirements, internal policies and industry best practice.

Key Responsibilities

• Conduct scheduled and ad-hoc compliance monitoring reviews across the business.
• Identify, assess and document regulatory, operational and reputational risks.
• Design and deliver risk-based monitoring activities aligned to regulatory expectations.
• Liaise with business stakeholders to support understanding of compliance requirements.
• Review regulatory developments and assess their impact on monitoring activities.
• Produce clear, high-quality monitoring reports with findings and recommendations for senior management and committees.
• Track and follow up on remedial actions arising from monitoring reviews and regulatory visits.
• Contribute to compliance MI and assurance reporting, including input into Board-level reports.
• Promote a strong culture of compliance and ethical conduct across the organisation.

Key Experience

• Proven experience in a compliance monitoring role within UK financial services (preferably wealth management)
• Hands-on experience delivering risk-based compliance monitoring reviews.
• Experience within adviser platforms and/or monitoring financial advisers, including file reviews.
• Strong working knowledge of key regulations (e.g. AML, KYC, MiFID, GDPR).
• Experience producing clear, senior-level compliance reports and management information.