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About the Role

Walker Crips is seeking a Compliance Monitoring Associate to join their Group Compliance function. This role is crucial for developing the Group's Compliance Plan and conducting monitoring audits.

Responsibilities

• Create and develop the Group Compliance Plan.
• Participate in compliance monitoring audits.
• Engage with staff at all levels of the firm.
• Conduct interrogations and call listening.
• Write compliance reports.
• Follow up on actions to completion.
• Enhance the compliance culture.

Requirements

• Experience in audit or compliance monitoring.
• Good understanding of financial services.
• Attention to detail.
• Focus on identifying issues and closing actions.
• Confidence to deal with objections.
• Ability to deliver change where necessary.

Skills

• FCA Handbook knowledge.
• Data Protection knowledge.
• Financial Crime prevention knowledge.
• Regulatory requirements knowledge.
• Wealth management understanding.
• Operations understanding.
• Investment advice understanding.
• Financial planning understanding.

Location

• Walker Crips

Work Type

• Full-time

Experience Level

• Experience required

About the Company

• Walker Crips is a financial services firm.