Compliance Associate – Wealth Management.

JR United Kingdom; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An established industry player in wealth management is seeking a Compliance Associate to join their London team. This role involves working closely with the compliance team to ensure adherence to FCA and SEC regulations. The ideal candidate will have a solid background in compliance within the financial services sector, with a focus on AML testing and regulatory reporting. This is a fantastic opportunity to contribute to a leading firm that manages substantial assets for high-net-worth clients, providing a dynamic and challenging work environment.

Qualifications

• Experience in compliance within financial services.
• Knowledge of FCA & SEC compliance requirements.

Responsibilities

• Assist with FCA & SEC compliance monitoring.
• Develop compliance testing procedures.
• Maintain compliance task workflow.

Skills

Compliance Monitoring

AML Testing

Knowledge of UK Regulations

Communication Skills

Job description

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Compliance Associate – Wealth Management, London

Client:

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

Job Views:

4

Posted:

26.04.2025

Expiry Date:

10.06.2025

Job Description:

Compliance Associate – Wealth Management.

9-month contract

Client - A leading international wealth manager providing wealth and investment management advice to high-net-worth private clients, often with complex multi-jurisdictional requirements. They manage over £3 billion in AUM for private clients with UK & international ties from their 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 in a similar role within the financial services sector, with knowledge of UK regulations, monitoring, and AML testing experience. Preferably, you will have worked in a strong team-oriented compliance department and be able to communicate clearly across the team and wider company.

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