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Senior Compliance Analyst - Wealth

  • Location: London
  • Salary: £70,000 - £80,0000 per year
  • Job Type:Permanent

Posted 4 months ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Contact Phone: 0203 637 1601
  • Expiry Date: 12 October 2023
  • Job Ref: EM/10425

MERJE are working with a reputable UK Wealth Management firm in their search for a capable Compliance specialist.

You will be responsible for:

  • Analysing regulatory requirements and overseeing the implementation of new or updated processes in coordination with other business units
  • Day-to-day oversight of existing or newly implemented compliance processes
  • Identifying areas for compliance improvement and initiate projects to achieve optimised outcomes
  • Assisting with reviews and approvals of financial promotions/marketing material when required
  • Handling external requests for information from regulatory bodies/external stakeholders
  • Assisting with projects for business improvement that have regulatory implications
  • Producing Compliance MI
  • Assisting with the approved persons process
  • Establishing and updating policies


  • Relevant regulatory knowledge within the wealth management or asset management industry  
  • Good working knowledge of FCA Conduct of Business rules
  • Ability to navigate and interpret the FCA Handbook
  • 4-5 years’ relevant experience within a broad Compliance role
  • Ability to work unsupervised
  • Effective communicator 
  • Good organisational skills
  • High level of accuracy/attention to detail – quality output
  • Strong interpersonal skills