Compliance Associate (FTC)

JR United Kingdom; Slough; On-site; GBP 30,000 - 45,000; Full time

Job summary

A global wealth management firm based in London is seeking a Compliance Associate for a 9-month contract. The role involves managing compliance registers, conducting reviews and AML testing, and requires 2-5 years of compliance experience, ideally with knowledge of both UK and US regulatory frameworks.

Qualifications

• 2-5 years compliance experience.
• Experienced in conducting compliance monitoring.
• Able to start within a month.

Responsibilities

• Manage compliance registers (including Financial Promotions & UCIS).
• Involvement in the implementation of the Compliance Monitoring Programme.
• Conduct thematic and surveillance reviews.
• Conduct AML testing.

Skills

Compliance Monitoring

Knowledge of UK & US Regulatory Frameworks

Job description

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Working with a global wealth management firm, who are looking for a Compliance Associate to join their London team. This role is ideal for someone with generalist compliance experience and a 9-month contract.

Key Responsibilities:

• Manage compliance registers (including Financial Promotions & UCIS)
• Involvement in implementation of the Compliance Monitoring Programme
• Conduct thematic and surveillance reviews
• Conduct AML testing

Key Requirements:

• 2-5 years compliance experience
• Experienced in conducting compliance monitoring
• Knowledge of UK & US regulatory frameworks
• Able to start within a month

If you're interested, please apply below or reach out to Nicole Poole at The Danos Group.