Compliance Associate FTC bei Charles Stanley & Co. Ltd. BU

• Support the Head of Monitoring & Testing in delivering the Compliance Monitoring Programme, including thematic reviews and front-office monitoring.
• Carry out surveillance tasks such as trade monitoring, conflicts of interest checks, PA dealing, suitability and appropriateness reviews, and financial crime monitoring.
• Maintain our monitoring issues database and assist with producing reports for governance committees and the Board.
• Help improve the efficiency of our monitoring processes and workflows.
• Build strong relationships across the business to foster a culture of compliance.
• Collaborate with other Compliance teams (Advisory, Complaints, Governance, Financial Crime) and contribute to ad-hoc projects.

• Experience in UK Retail Financial Services in a Compliance role.
• Knowledge of the FCA Handbook; experience in Wealth Management, Investment Management, or Private Banking is a plus.
• Professional qualifications in Wealth Management or Compliance are desirable.
• Strong communication skills – clear, concise, and professional.
• Ability to manage priorities, meet deadlines, and work collaboratively.
• Flexible and adaptable to changing business needs, including occasional travel and non-standard hours.

We believe diversity drives innovation and success. We welcome applications from people of all backgrounds, identities, and experiences. If you meet most of the criteria but not all, we still encourage you to apply – we value potential as much as experience.