Compliance Associate
fs talent · London, England ·
Compliance Associate Location: London Salary: Circa £50,000 + Benefits 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