Compliance Associate – Wealth Management.

Oval Recruit Ltd.; Greater London; On-site; GBP 40,000 - 65,000; Full time

Job summary

An established industry player in wealth management is seeking a Compliance Associate to join their dynamic team. This role involves supporting compliance monitoring and testing procedures, ensuring adherence to UK regulations, and collaborating with various departments to enhance compliance workflows. The ideal candidate will bring significant compliance experience within the financial services sector and possess strong communication skills to effectively engage with team members and stakeholders. If you're looking to make an impact in a team-oriented environment, this opportunity is perfect for you.

Qualifications

• Experience in compliance roles within financial services.
• Strong knowledge of UK regulations and compliance monitoring.

Responsibilities

• Assist with FCA & SEC compliance monitoring plans.
• Develop compliance testing procedures across the business.
• Complete compliance reporting and document results.

Skills

Compliance experience

Knowledge of UK regulations

AML testing experience

Communication skills

Job description

Compliance Associate – Wealth Management.

Compliance Associate – Wealth Management.

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This range is provided by Oval Recruit Ltd.. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Oval Recruit Ltd.

Compliance Associate – Wealth Management.

9 month contract

Client - A leading International Wealth Manager who provides Wealth and Investment Management Advice to HNW private clients often with complex multi-jurisdictional requirements. They manage over £3 billion in AUM for private clients who have UK & International ties from the London office.

Role – Working as part of the Compliance Team you will be involved in a range of duties including.

• Assist with the completion of the FCA & SEC compliance monitoring plan.

• Help develop compliance testing procedures across the business.

• Complete reporting and document results of compliance testing.

• Work constructively with departments to analyse and remedy testing results.

• Maintain compliance task workflow.

• Assist with regulatory returns and compliance reporting duties

Candidate – The ideal candidate will have compliance experience working in a similar role within the financial services sector and have knowledge of UK regulations, monitoring and AML testing experience. Preferably you will have worked in a strong team-oriented compliance department and will be able to communicate clearly across the team and wider company.

For more information and a full job description please contact Richard Garbett

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Contract

Job function

• Job function

  Legal and Administrative

• Industries

  Financial Services and Investment Advice

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