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Compliance Monitoring Officer

  • Location: West End, London
  • Salary: £40,000 - £50,000
  • Job type: Permanent
  • Job reference: NC/172263
  • Sector: Asset Management/Funds
Job Description


I am working with an IFA in the West End who have recently been acquired by a larger, reputable Investment Management brand and are looking to expand several teams within the business, one of those being Compliance.  This is a brilliant opportunity for someone to join an entrepreneurial and dynamic business where there will be plenty of learning opportunities and a chance of progression. 

This is a generalist Compliance Monitoring position so my client is looking for someone with the following experience;

  • Reviews of Investments, Pensions, Mortgages, Equity Release, Protection Products etc
  • Annual and ongoing reviews
  • A strong communicator who can successfully represent Compliance to the front office teams
  • CII Diploma in Financial Planning / Equivalent or currently studying for


The salary on offer will be in the region of £40,000 - £50,000 dependent on experience and comes with some great benefits including monthly Gym contribution and in-house study time and training costs covered.

For further information please contact Nathan Coomber on or submit your CV for consideration

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