Compliance Assistant

Compliance Professionals; London; On-site; GBP 25,000 - 40,000; Full time

Job summary

A leading boutique investment firm based in London is looking for a Compliance Assistant to support the implementation and monitoring of compliance frameworks. Responsibilities include conducting routine compliance activities, preparing regulatory returns, and assisting with audits. The ideal candidate should have a solid understanding of FCA regulations and possess strong communication and organizational skills.

Qualifications

• Basic understanding of FCA regulations and UK regulatory environment.
• Proficient in Microsoft Office (Word, Excel, Outlook).
• Ability to handle confidential information with discretion.

Responsibilities

• Assist in implementing and monitoring the compliance framework.
• Conduct routine monitoring activities per the compliance monitoring plan.
• Help draft and update compliance policies, procedures, and manuals.

Skills

Attention to detail

Organisational skills

Verbal communication

Written communication

Discretion

Education

Experience in compliance, legal, or regulatory role

Tools

Microsoft Office

Job description

THE COMPANY: Our client is boutique, independent investment firm, offering services including trading, pension fund management and institutional dealing. THE RESPONSIBILITIES:

• Assist in the implementation and monitoring of the firm’s compliance framework and procedures.
• Support the maintenance of internal compliance registers, including breaches, gifts & hospitality, and conflicts of interest.
• Conduct routine monitoring activities in line with the firm’s compliance monitoring plan.
• Assist with the preparation and submission of regulatory returns to the FCA via RegData.
• Help draft and update compliance policies, procedures, and manuals.
• Monitor regulatory developments and communicate relevant changes to stakeholders.
• Maintain accurate records of staff training and support the delivery of compliance training across the firm.
• Support onboarding processes, including KYC/AML checks on clients.
• Assist in internal and external audits and regulatory inspections as required.
• Provide general administrative support to the Compliance team and Board.

EXPERIENCE REQUIRED:

• Previous experience in a compliance, legal, or regulatory role (ideally within an FCA-regulated firm).
• Basic understanding of FCA regulations and the UK regulatory environment.
• Strong attention to detail and organisational skills.
• Proficient in Microsoft Office (Word, Excel, Outlook).
• Excellent written and verbal communication skills.
• Ability to handle confidential and sensitive information with discretion.

For further information please contact Duncan Jeffery