Courtiers Wealth Management
Courtiers Wealth Management

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Compliance Analyst

Compliance CISL


We are looking for a suitably experienced and qualified individual to join the Courtiers Investment Services Compliance Team based in our Witney office.

Main Purpose of the Role:

  • Assist the Head of Courtiers CIS Compliance and in providing an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the Business operates
  • The focus is primarily on FCA compliance but also encompasses compliance with other regulation such the Data Protection Act and Proceeds of Crime Act
  • Assist the Head of Compliance in safeguarding Courtiers’ permitted activities, by way of undertaking monitoring reviews to demonstrate compliance

Duties and Responsibilities:

  • To undertake tasks relating to the implementation of the objectives set out in the Compliance policies and Compliance Monitoring Programme
  • To assist the Head of Courtiers Compliance in ensuring that the Company establishes and maintains, at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the Business from errors, irregularities or fraud
  • Assist in monitoring all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by Senior Management
  • To assist in monitoring proposed changes in legislation with particular relevance to compliance of all regulatory regimes
  • To assist the Head of Courtiers Compliance in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements
  • Assist in providing advice and coaching to employees to enable them to deliver process improvements, which are fully compliant with relevant regulatory requirements
  • To assist in coordinating the handling of client complaints
  • To assist in the creation, implementation, and development of internal systems, in order to meet regulatory obligations, and to improve and maintain efficient working practices within the organisation
  • Undertake ad-hoc project work as needed

Interested in the role?
Send your CV to