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Financial Planning Regulatory Monitoring Analyst role with London based Financial Services Firm.

Role Details

• Assist in the design, evaluation and assessment of new and existing themed reviews and ad hoc reviews in relation to Financial Planning activities, to ensure they meet current and new regulations.


• Undertake themed reviews of Financial Planning activities to ensure compliance with internal policy and external regulations.


• Undertake investigations in to ant potential systemic issues regarding Financial Planning activities highlighted as part of routine or themed monitoring.


• Maintain knowledge on regulatory matters, company policies and procedures.


• Ad hoc duties as required.

Skill Set Required

• Proven track record working in Financial Planning Monitoring.


• Current knowledge of FSA regulations.


• Able to communicate with individuals at all levels across the business.


• Strong attention to detail.


• Excellent interpersonal and communication skills.


• Good report writing skills.

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