Compliance Advisory Associate

Broadgate; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading financial services firm in Greater London is looking for a Compliance Advisory Associate to join their Risk & Compliance team. In this role, you will provide essential advice and support on regulatory matters, ensuring compliance with FCA and relevant regulations. The ideal candidate should have relevant experience in Wealth & Investment Management and a strong understanding of the FCA Handbook. Attention to detail is crucial for success in this position.

Qualifications

• Previous experience in a similar Compliance role within Wealth & Investment Management.
• Detailed, current technical knowledge of the FCA Handbook and other relevant regimes.
• Strong attention to detail.

Responsibilities

• Provide advice, training, and guidance to the business on regulatory matters.
• Work on regulatory horizon scanning and anticipate upcoming regulatory changes.
• Support the review of Financial Promotions.
• Assist in determining the relevance and impact of regulatory change.
• Manage ad hoc regulatory queries from the business.

Skills

Regulatory knowledge

Attention to detail

Job description

Associate Director, Risk, Compliance, Financial Crime and Finance Broadgate

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Compliance Advisory Associate

As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators.

Key Responsibilities

• Provide advice, training, and guidance to the business on regulatory matters.
• Work on regulatory horizon scanning and anticipate upcoming regulatory changes.
• Support the review of Financial Promotions.
• Assist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.
• Manage ad hoc regulatory queries from the business.

Experience & Qualifications

• Previous experience in a similar Compliance role within Wealth & Investment Management.
• Detailed, current technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR) and other relevant regimes.
• Strong attention to detail.

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