Compliance Associate

CLARC Recruitment; England; On-site; GBP 40,000 - 55,000; Full time

Job summary

A growth-focused wealth management firm in England is seeking a Compliance Associate to enhance its Compliance function in Kent. This role offers candidates the opportunity to engage in thematic reviews, financial promotions, and regulatory reporting. The ideal candidate should have a minimum of 2 years' experience within a Compliance function, strong knowledge of FCA regulations, and excellent investigative skills. This position promotes a client-outcome-focused culture and provides variety and autonomy in daily responsibilities.

Qualifications

• Minimum 2 years’ experience in a Compliance function, ideally in Wealth Management.
• Experience conducting Thematic or Client Outcome Reviews.
• Knowledge of FCA regulations including Consumer Duty.

Responsibilities

• Join the Compliance function based in Kent.
• Conduct thematic reviews and financial promotions.
• Contribute to regulatory reporting and policy development.

Skills

Compliance experience

Strong investigative skills

Strong communication skills

Attention to detail

Organizational skills

Pragmatic problem solving

Education

ICA or similar Compliance qualifications

Level 4 Diploma in Financial Planning

Job description

A growing Wealth Management business is looking to hire a Compliance Associate to join their Compliance function based in Kent. This is an excellent opportunity to join a collaborative team where you’ll gain broad exposure across core 2nd Line activities including thematic reviews, financial promotions, financial crime, policy development and regulatory reporting. The role offers variety, autonomy and the chance to contribute directly to the firm’s strong client-outcome-focused culture.

Job Requirements

• Minimum 2 years’ experience working within a Compliance function, ideally in Wealth Management or Financial Planning.
• Experience conducting Thematic or Client Outcome Reviews.
• Strong knowledge of FCA regulations including Consumer Duty.
• Ability to interpret regulation and translate it into clear, practical guidance for stakeholders.
• Strong investigative skills with excellent attention to detail.
• Confident communicator with strong verbal, written and interpersonal skills.
• Highly organised, self‑motivated and able to manage multiple priorities.
• Pragmatic approach to problem solving with a strong focus on client outcomes.

Desirable

• ICA or similar Compliance qualifications
• Level 4 Diploma in Financial Planning.
• Knowledge or experience of Pensions.

Unless otherwise stated, candidates must have the right to work in the UK.