Role Overview
We are seeking a proactive and detail-oriented Compliance Monitoring Analyst to support the delivery of Progeny's Compliance Monitoring Plan. The role involves conducting risk-based compliance reviews, testing regulatory controls, investigating incidents, tracking remediation actions, and helping identify opportunities to strengthen compliance across the Group.
Working closely with the Head of Compliance, the successful candidate will analyse evidence, assess control effectiveness, support governance reporting, and utilise AI and automation tools to improve monitoring efficiency while ensuring appropriate oversight and validation.
Key Responsibilities
- Deliver compliance monitoring reviews and control testing across Wealth, Asset Management, and Legal & Tax.
- Identify, document and escalate compliance risks, control weaknesses, and root causes.
- Maintain incident records and support investigations, remediation tracking, and customer impact assessments.
- Gather and analyse evidence, produce monitoring reports, and maintain action trackers.
- Prepare management information for governance and regulatory reporting.
- Support due diligence reviews of outsourced providers.
- Use AI and automation tools responsibly to enhance monitoring and reporting processes.
Our Ideal Person
- Experience in compliance monitoring, audit, assurance, risk, or a similar financial services role.
- Knowledge of FCA regulations, including Consumer Duty, COBS, SYSC, PROD, financial crime requirements, and risk-based monitoring.
- Strong analytical, investigative, and report-writing skills.
- Ability to assess evidence, identify control weaknesses, and communicate findings clearly.
- Excellent stakeholder management and organisational skills.
- Confidence using data, reporting tools, and emerging AI technologies.
Desirable: ICA, CISI or similar qualification, experience within wealth management or asset management, and exposure to AI-enabled compliance monitoring.
Development Opportunities
This role offers exposure to governance reporting, compliance monitoring, incident investigations, root cause analysis, AI-driven monitoring solutions, and professional development opportunities within a growing compliance function.
Progeny High Wycombe, England Office
29-31 Castle Street, High Wycombe, United Kingdom, HP13 6RU
Progeny London, England Office
16 Berkeley Street, London, United Kingdom, W1J 8DZ
