Compliance & T&C Associate — Hybrid Bath

Reed; Bath; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A leading financial services firm in Bath seeks a Compliance & T&C Associate to address compliance issues, assist with regulatory reporting, and maintain compliance standards. The role requires excellent communication and analytical skills, along with experience in financial advice or wealth management. There are opportunities for professional growth and to transition into strategic leadership roles within compliance management. Apply with your CV and cover letter detailing your experience and interest.

Benefits

Structured professional development

Opportunity for strategic leadership roles

Qualifications

• Proficient in office-based software with a high level of attention to detail.
• Understanding of FCA rules and guidance relevant to financial advice and wealth management.
• Experience in a financial advice or wealth management firm is essential.

Responsibilities

• Liaise with various teams to address compliance issues.
• Assist in the production of quarterly compliance reports.
• Maintain the Compliance Monitoring Plan and assist with annual assessments.
• Conduct reviews of client files to ensure adherence to standards.
• Establish and maintain effective relationships with key compliance groups.

Skills

Communication skills

Influencing skills

Analytical skills

Attention to detail

Education

CII Diploma in Financial Planning or equivalent

Job description

A leading financial services firm in Bath seeks a Compliance & T&C Associate to address compliance issues, assist with regulatory reporting, and maintain compliance standards. The role requires excellent communication and analytical skills, along with experience in financial advice or wealth management. There are opportunities for professional growth and to transition into strategic leadership roles within compliance management. Apply with your CV and cover letter detailing your experience and interest.