Join to apply for the Compliance Monitoring Officer role at myGwork - LGBTQ+ Business Community
2 days ago Be among the first 25 applicants
Join to apply for the Compliance Monitoring Officer role at myGwork - LGBTQ+ Business Community
Get AI-powered advice on this job and more exclusive features.
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.
Essential
Skills & Experience:
* 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.
Seniority level
* Seniority level
Entry level
Employment type
* Employment type
Full-time
Job function
* Job function
Other
Referrals increase your chances of interviewing at myGwork - LGBTQ+ Business Community by 2x
Sign in to set job alerts for “Monitoring Officer” roles.
Cirencester, England, United Kingdom 3 days ago
Swindon, England, United Kingdom 23 hours ago
Swindon, England, United Kingdom 1 week ago
Cirencester, England, United Kingdom 1 day ago
Tewkesbury, England, United Kingdom 1 month ago
Tewkesbury, England, United Kingdom 1 month ago
Tewkesbury, England, United Kingdom 1 month ago
Depot Operations Administrator - 12 Month Fixed Term Contract
Gloucester, England, United Kingdom 2 days ago
Gloucester, England, United Kingdom 1 week ago
Customer and Events Support Administrator
Cirencester, England, United Kingdom 2 weeks ago
Customer and Events Support Administrator
Cirencester, England, United Kingdom 4 days ago
Woodmancote, England, United Kingdom 1 week ago
Tewkesbury, England, United Kingdom 4 days ago
Technical Administrator - VTR UK Staffing
Defence Modelling & Simulation Office (DMSO) Business Support Officer (BSO)
Customer and Events Support Administrator
Cirencester, England, United Kingdom 2 weeks ago
Chipping Sodbury, England, United Kingdom 1 week ago
Tewkesbury, England, United Kingdom 1 day ago
Burford, England, United Kingdom 3 days ago
Operations Co-Ordinator (Client Transfers)
Cirencester, England, United Kingdom 1 day ago
Burford, England, United Kingdom 1 week ago
Swindon, England, United Kingdom 1 month ago
Chipping Sodbury, England, United Kingdom 1 week ago
Barnsley, England, United Kingdom 1 week ago
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr