Compliance Monitoring Officer

St. James’s Place

  • Cirencester, Gloucestershire
  • Permanent
  • Full-time
  • 27 days ago
Are you ready to chart your own career path? With our refreshed strategy, we're building on our rich heritage and transforming our business to be more scalable and efficient, unlocking the capabilities needed for future success. This includes significantly investing in technology, streamlining the way we work and creating an environment where colleagues feel engaged, empowered and accountable; where they can show up, speak up and perform - because we believe in the difference our work makes.At a glance:Location: Cirencester OfficeWorkplace Type:Employment Type: PermanentSeniority: AssociateWhat you'll be doing:We are looking for a dedicated and detail-oriented individual to join the Compliance Monitoring Team within the Risk & Compliance Division. Based in Cirencester or Bristol with hybrid working, this role is integral to the delivery of second-line assurance activity, contributing to our strong compliance culture across SJP. The role focuses on providing independent, risk-based assessments of key business areas to ensure fair customer outcomes and effective control environments, in line with FCA and PRA expectations.Key Responsibilities
  • Deliver high-quality compliance monitoring activity in line with the annual Compliance Monitoring Plan, covering key areas such as advice suitability, corporate policy adherence, third-party administrators, and training and competence.
  • Perform thematic and ongoing reviews, ensuring timely follow-up on agreed actions with business stakeholders.
  • Support reporting to senior management, contribute to project work, and assist in procedural development and staff training within the Compliance function.
  • Maintain an understanding of regulatory requirements, including Consumer Duty and other key FCA standards, and how they apply across the business.
  • Analyse and interpret data using tools such as Power BI and Excel to support monitoring work.
Who we're looking for:You are someone who thrives on delivering meaningful second-line assurance that supports continuous improvement and effective regulatory compliance. You bring energy, curiosity, and a collaborative mindset to help shape a strong compliance culture. You'll be analytical, organised, and capable of distilling regulatory insights into clear, actionable findings. Whether you're progressing your career within compliance or seeking a new challenge, this role offers the opportunity to deepen your regulatory knowledge in a dynamic environment.Skills & Experience:Essential:
  • Experience in first or second-line compliance roles, ideally in wealth management or financial advice.
  • Working knowledge of key FCA regulatory frameworks (e.g. PRIN, SYSC, COBS).
  • Demonstrable experience of compliance monitoring or related assurance activities.
  • Excellent verbal and written communication skills, with the ability to write concise and clear reports.
  • Proficiency in data handling and analysis, with skills in Excel and/or Power BI.
  • Working towards, or holding, a relevant financial advice qualification (e.g. CII, CISI Level 4 or equivalent).
Desirable:
  • Understanding of the Three Lines of Defence model.
What's in it for you?We reward you for the work you do, whether that's through our discretionary annual bonus scheme that reflects both personal and company performance, competitive annual leave allowance (28 days plus bank holidays, with the option to purchase an additional 5 days), or online rewards platform with a variety of discounts.
We also have benefits to support whatever stage of life you are in, including:
  • Competitive parental leave (26 weeks full pay)
  • Private medical insurance (optional taxable benefit)
  • 10% non-contributory pension (increasing with length of service)
Reasonable Adjustments
We're an equal opportunities employer and want to ensure our recruitment process is accessible and inclusive for all, if you require reasonable adjustment(s) at any stage please let us know by emailing us at careers@sjp.co.uk
Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.What's next?If you're excited about this role and believe you have the skills and experience we're looking for, we'd love to hear from you! Please submit an application by clicking 'apply' below and our team will be in touch.
As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty obligations prior to an interview with SJP.

St. James’s Place