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Compliance Monitoring Adviser

London, United Kingdom
£50k - £60k
Closing date
Jul 19, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About us

Transact is the leading independent investment wrap platform in the UK. Established in 2000, we have over £54 billion of funds under direction (as at March 2023) on behalf of over 7,500 advisers and 228,000 investor clients. Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.

Key Responsibilities include:

Take ownership for risk assessing processes with a regulatory impact within the Group and providing a strong rational as to the decision to include/exclude the process within the annual test plan.
Accurately communicating findings both face to face and in formal reports.
Managing the issue tracking and resolution process, this includes engaging pro-actively with business stakeholders to influence timely and effective remedial action in response to the outcome of monitoring activity.
Take responsibility for keeping informed on regulatory developments. Raise the regulatory developments with the Manager and present on them to the wider Compliance Monitoring and Business Control Testing teams.
Developing and maintain a very strong working knowledge of FCA, PRA and IOMFSA rules impacting the Group.
Maintaining an effective relationship and work collaboratively with the Internal Audit Team and the Risk Team including joint planning and managing overlaps.
Providing relevant, accurate and timely monthly MI on the performance of the Compliance Monitoring Team.
Take full responsibility for a range of monitoring activities including: planning, testing, report writing and record keeping.


You will have 5 + years' experience within a Compliance/Internal Audit position with exposure to monitoring activities. This will be within the financial services sector, preferably working at a Platform provider, Fund Manager or Brokerage. You will have had experience report writing and excellent oral and written communication skills are key.

The successful candidate will have excellent attention to detail and be well organised, with the ability to work to tight deadlines.

We reward and recognise hard working and enthusiastic individuals who help us maintain our position as a market leader in the wrap platform sector. We encourage a collaborative culture; using your initiative and imagination to help us to continually improve.

We offer a competitive remuneration package, including company discretionary bonus, excellent pension contributions, an attractive staff share scheme, BUPA health insurance, season ticket loan, buying and selling of annual leave and sponsorship of relevant professional qualifications.

Please note, this role is based in our central London office on a hybrid working basis. This comprises two days a week in the office and three days a week from home.

Equal Opportunities

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.

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