Compliance Analyst, Advisory & Complaints bei Charles Stanley & Co. Ltd. BU

Reporting to the Senior Compliance Manager, you’ll play a key role in supporting the Head of Advisory & Complaints to ensure client complaints are managed effectively and regulatory advice is delivered consistently across the business.

• Maintain accurate team records in line with regulatory requirements and best practice.
• Support the firm’s complaints handling process, ensuring compliance with the documented framework.
• Produce high-quality Management Information for governance committees, senior leadership, and the Board.
• Collaborate with other Compliance teams including Monitoring & Testing, Financial Crime, and Regulatory Strategy.
• Foster strong relationships across the business to promote a robust compliance culture.
• Contribute to ad-hoc projects and lead workstreams within Compliance initiatives.
• Assist in implementing Compliance policies and internal controls.

We’re looking for someone who:

• Has experience in UK Wealth Management, Investment Management, or Private Banking (preferred).
• Demonstrates strong attention to detail and accuracy.
• Communicates clearly, both verbally and in writing.
• Is proficient in Microsoft Office, especially Excel.
• Manages priorities effectively and meets deadlines.
• Is adaptable and responsive to changing business needs.
• Upholds high standards of professional and technical excellence.
• Is willing to travel across the branch network and work flexible hours when required.

This is a fantastic opportunity to be part of a collaborative and forward-thinking Compliance team, where your contributions will directly support the firm’s commitment to regulatory excellence and client care.