Compliance Monitoring Associate

Alexander Lloyd are looking for an experienced Compliance Monitoring Associate to lead thematic assurance reviews within a regulated financial services environment. You’ll take ownership of reviews from planning through to reporting, helping to strengthen governance, identify risks, and drive continuous improvement across the business.

Key Responsibilities

• Lead and deliver compliance monitoring thematic reviews from inception to completion.
• Ensure reviews are completed on time and in line with the monitoring framework.
• Prepare high-quality review documentation, including Terms of Reference and reports.
• Present findings and recommendations to key stakeholders.
• Track and follow up on agreed actions to ensure timely completion.
• Build strong relationships across Compliance, Risk, Legal, Internal Audit, Operations and other business functions.
• Provide regular progress updates and escalate issues where appropriate.
• Support wider compliance monitoring and assurance activities as required.

About You

You will have:

• At least 5 years’ experience conducting compliance monitoring or thematic reviews within pensions.
• Strong knowledge of compliance, risk and regulatory frameworks.
• Excellent analytical skills and attention to detail.
• The ability to work independently, manage multiple priorities and deliver high-quality outcomes.
• Strong stakeholder management and communication skills.

Desirable

• Knowledge of UK occupational pensions, including DB, DC and Master Trust arrangements.
• Understanding of The Pensions Regulator’s requirements and wider pensions legislation.
• Familiarity with pensions administration processes and regulatory breach reporting.
• Knowledge of FCA regulation and the asset management sector.
• A relevant professional qualification in compliance, risk, audit, legal or pensions.