Job Description
This job is with St. James's Place, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.
What you'll be doing:
We are looking for a dedicated and detail-oriented individual to join the Compliance Monitoring Team within the Risk & Compliance Division. Based in Cirencester or Bristol with hybrid working, this role is integral to the delivery of second-line assurance activity, contributing to our strong compliance culture across SJP. The role focuses on providing independent, risk-based assessments of key business areas to ensure fair customer outcomes and effective control environments, in line with FCA and PRA expectations.
Key Responsibilities
* Deliver high-quality compliance monitoring activity in line with the annual Compliance Monitoring Plan, covering key areas such as advice suitability, corporate policy adherence, third-party administrators, and training and competence.
* Perform thematic and ongoing reviews, ensuring timely follow-up on agreed actions with business stakeholders.
* Support reporting to senior management, contribute to project work, and assist in procedural development and staff training within the Compliance function.
* Maintain an understanding of regulatory requirements, including Consumer Duty and other key FCA standards, and how they apply across the business.
* Analyse and interpret data using tools such as Power BI and Excel to support monitoring work.
Who we're looking for:
You are someone who thrives on delivering meaningful second-line assurance that supports continuous improvement and effective regulatory compliance. You bring energy, curiosity, and a collaborative mindset to help shape a strong compliance culture. You'll be analytical, organised, and capable of distilling regulatory insights into clear, actionable findings. Whether you're progressing your career within compliance or seeking a new challenge, this role offers the opportunity to deepen your regulatory knowledge in a dynamic environment.
Skills & Experience:Essential:
* Experience in first or second-line compliance roles, ideally in wealth management or financial advice.
* Working knowledge of key FCA regulatory frameworks (e.g. PRIN, SYSC, COBS).
* Demonstrable experience of compliance monitoring or related assurance activities.
* Excellent verbal and written communication skills, with the ability to write concise and clear reports.
* Proficiency in data handling and analysis, with skills in Excel and/or Power BI.
* Working towards, or holding, a relevant financial advice qualification (e.g. CII, CISI Level 4 or equivalent).
Desirable:
* Understanding of the Three Lines of Defence model.