Job Description:

  • An exciting new role has arisen within a leading Financial platform providers Compliance team, as a Compliance monitoring analyst.

  • The Compliance monitoring analyst will work closer with members of the team to identify and implement the regulatory change agenda across the business.

    As part of this you'll undertake daily monitoring of regulatory developments, rule mapping and gap analysis, and support the data protection team as a whole with their responsibilities.

  • Another part of this role will be to act in support of the Compliance monitoring consultant by undertaking assurance activities to support their existing compliance monitoring plan and liaise with all areas of the business to gather the know-how and data we need to keep any risks contained.


  • An awareness of the regulations and industry best practice standards that apply to adviser platforms and financial advisers.

  • A mind for data analysis and reading regulation, and seeing how it might apply to us

  • Experience of working in a regulated financial services environment, and in a compliance function.

  • A great team-player mindset, as you will need to work closely with others to help the team meet the challenging goals they work towards.

Core Responsibilities:

  • Identifying and monitoring regulatory changes and enforcement action to ensure that regulatory development logs are kept up-to-date with information on current and upcoming law and regulation.

  • Liaising with the product technical team to ensure full coverage of legislative change and a joined-up approach to implementing required changes.

  • Keying data for completion of FCA regulatory returns

  • Document minutes and actions from internal and external project meetings

  • Liaising with other areas of the business to identify what data they hold, asking why and giving guidance about information security and embedding privacy considerations into the organisation.

  • Undertaking compliance monitoring on data topics

  • Reviewing regulatory change and ICO guidance on data protection and ensuring the business is updated with developments.

  • Supporting process owners in the maintenance of the register of personal data processing

  • Assisting in the delivery of the Compliance monitoring universe, including regular testing and providing support with thematic and ad-hoc reviews, to test both compliance with regulation / legislation and the delivery of fair customer outcomes.

  • Support review planning and development of the existing compliance universe, taking into consideration regulatory requirements, breaches, complaints, risk related MI and KPI information.

  • Conduct monitoring activity in accordance with the plan; identify any compliance failure and work with the business to develop action plans to rectify.

  • Working with the business to ensure that appropriate remedial action is undertaken as a result of compliance monitoring activity.


  • Competitive

Job reference: 10806

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.


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