Compliance Associate

Compliance Professionals; London; On-site; GBP 40,000 - 55,000; Full time

Job summary

A leading financial advisory firm in London is seeking a compliance officer. This role offers exposure to FCA regulations, involves assisting in policy development, tracking regulatory changes, and overseeing compliance processes. Ideal for candidates with 2-3 years of experience and looking to advance in their compliance career. This position also provides opportunities for learning and growth.

Qualifications

• 2–3 years of experience in a similar compliance role.
• Ability to write reports up to 1000 words rapidly.
• Keen attention to detail and effective prioritization skills.

Responsibilities

• Exposure to FCA's agenda and compliance oversight.
• Assist in policy writing and tracking regulatory developments.
• Oversee compliance recordkeeping and assurance programme.

Skills

Report writing

Attention to detail

Self-starter

Prioritization

Job description

THE COMPANY

Our client is a fast growing Fintech Financial Advisor to HNW and UHNW individuals. They offer a total overview of their clients finances using data aggregation techniques. This role is a generalist compliance position in a small team. It is a superb opportunity to learn and grow.

THE RESPONSIBILITIES

• First-hand exposure to the agenda of the FCA.
• Assist with the writing of policy and procedures
• Tracking regulatory developments and supporting the firms relationship with the FCA.
• Overseeing the compliance recordkeeping framework
• Utilising existing systems along with AI applications to create efficiencies
• Play a leading role in the assurance programme
• Perform a number of key functions connected with KYC policy, systems, and surveillance.
• You will gain a diverse portfolio of responsibilities, giving exposure to interesting subject matter

EXPERIENCE REQUIRED

• 2/3 years’ experience in a similar role and looking for the next step
• The ability to compose reports of up to 1000 words in a matter of days
• A keen eye for detail
• A self-starter with the ability to prioritise