Compliance Associate

fs talent; Greater London; On-site; GBP 42,000 - 62,000; Full time

Benefits offered by this job

Central London office

Competitive benefits package

Exposure to senior leadership

Broad compliance responsibilities

Job summary

fs talent partners with a high-profile wealth management firm to recruit a Compliance Associate. The role supports the Head of Compliance and helps ensure regulatory obligations are met while enabling growth.

Ideal candidates have 3+ years of experience in regulated wealth management or financial planning, strong communication skills, and a collaborative mindset. The position is full-time and office-based in Central London.

Qualifications

• Experience in regulated wealth management or financial planning environment.
• Knowledge of FCA Handbook sections such as COBS, SYSC, PROD, Consumer Duty, SM&CR.
• Experience supporting Compliance Monitoring activity.
• Excellent organisational and communication skills.

Responsibilities

• Provide day-to-day compliance guidance to the business.
• Support the Compliance Monitoring Programme.
• Review and approve financial promotions and marketing materials.
• Assist with regulatory reporting and FCA submissions.
• Maintain compliance policies, procedures and registers.
• Monitor regulatory developments and horizon scan.
• Support investigations into breaches, incidents and complaints.
• Assist with risk assessments and thematic reviews.
• Support Board and Committee reporting.
• Assist with training across the business.
• Collaborate with advisers and operations to promote good outcomes.
• Support regulatory projects and business change initiatives.

Skills

3+ years' Compliance experience

Stakeholder management

Communication skills

Attention to detail

Education

ICA Diploma

CISI Compliance qualifications

Job description

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
• 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

• Competitive benefits package
• Exposure to senior leadership
• Broad, varied compliance responsibilities
• Collaborative and supportive team environment
• Central London office
• Full-time office-based role (5 days per week)