Compliance Associate

About this role

Compliance Associate

Working Pattern: Full-time | Office-Based (5 days per week)

The Opportunity

We're partnering with a highly regarded and growing wealth management firm to recruit a Compliance Associate to join its expanding Compliance function.

This is an excellent opportunity for someone with around 3+ years' experience within a UK regulated wealth management or financial planning environment who is looking to broaden their exposure across advisory compliance, regulatory oversight and monitoring while working closely with senior stakeholders.

You'll become part of a collaborative, high-performing team where compliance is viewed as a genuine business partner rather than simply a control function.

The Role

Supporting the Head of Compliance, you'll assist with the day-to-day operation of the firm's Compliance Framework, helping ensure the business continues to meet its regulatory obligations while supporting commercial growth.

Responsibilities will include

• Providing day-to-day compliance guidance to the business.
• Supporting the firm's Compliance Monitoring Programme.
• Reviewing and approving financial promotions and marketing materials.
• Assisting with regulatory reporting and FCA submissions.
• Maintaining compliance policies, procedures and registers.
• Monitoring regulatory developments and assisting with horizon scanning.
• Supporting investigations into compliance breaches, incidents and complaints.
• Assisting with periodic risk assessments and thematic reviews.
• Supporting Board and Committee reporting.
• Assisting with compliance training across the business.
• Working closely with advisers and operational teams to promote good customer outcomes.
• Supporting regulatory projects and business change initiatives.

About You

You'll already have experience working within a regulated wealth management, investment management or financial planning business and be looking to develop your career within a broad compliance role.

You'll ideally have

• Minimum 3 years' Compliance experience within Wealth Management, Financial Planning or Investment Management.
• Good understanding of the FCA Handbook, particularly:
• COBS
• SYSC
• PROD
• Consumer Duty
• SM&CR
• Financial Promotions
• AML & Financial Crime requirements
• Experience supporting Compliance Monitoring activity.
• Strong communication and stakeholder management skills.
• Excellent organisational skills and attention to detail.
• Ability to prioritise multiple tasks in a fast-paced environment.
• A proactive and collaborative approach.

Professional qualifications such as the ICA Diploma, CISI Compliance qualifications or equivalent would be advantageous but are not essential.

What's On Offer

• Salary circa £50,000
• Competitive benefits package
• Exposure to senior leadership
• Broad, varied compliance responsibilities
• Excellent career development opportunities
• Collaborative and supportive team environment
• Central London office
• Full-time office-based role (5 days per week)

Interested?

If you're looking to join a respected wealth management business where you'll gain broad compliance exposure and work alongside experienced professionals, we'd love to hear from you. Apply today or contact us for a confidential discussion.

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