Regulatory Compliance Associate- Investments

Coopman Search and Selection | B Corp; England; On-site; GBP 60,000 - 80,000; Full time

Job summary

A compliance-focused consultancy firm in the United Kingdom is seeking a Regulatory Compliance Associate to join their Investments practice. This role involves assisting clients with FCA applications, reviewing financial promotions, and conducting regulatory audits. Ideal candidates will have 2-5 years of compliance experience in financial services and knowledge of relevant regulations like AIFMD and MiFID II. This position offers the chance for professional growth in a supportive and high-performing environment.

Benefits

Professional growth opportunities

Collaborative environment

Recognition as a Great Place to Work

Qualifications

• 2-5 years’ experience in compliance within financial services.
• Experience with FCA regulation and knowledge of AIFMD & MiFID II.
• Ability to manage multiple projects in a fast-paced environment.

Responsibilities

• Assist with applications to the FCA for compliance directives.
• Review clients' Financial Promotions.
• Conduct regulatory due diligence as part of M&A projects.
• Undertake audits on existing regulatory frameworks and report findings.
• Develop regulatory policies and procedures for clients.

Skills

Compliance knowledge

Time-management

Project management

Relationship building

Education

CISI Diploma or equivalent

Job description

We are seeking a Regulatory Compliance Associate to join the Investments practice of a well respected, high growth Compliance focused consultancy firm.

In this role you will be supporting a range of clients who offer wholesale investment products to both retail and institutional clients with a real breadth of compliance related support.

Key Responsibilities

• Assisting with the drafting and submission of applications to the FCA for firms who fall in scope with both MiFID and AIFMD directives
• Performing the review of clients' Financial Promotions
• Providing clients with relevant and timely advice on regulatory developments which will impact them
• Conducting regulatory due diligence reviews as part of M&A projects
• Undertaking audits for clients on their existing regulatory frameworks and compiling detailed reports on your findings and recommendations
• Assist clients with the development of regulatory policies and procedures
• Building relationships with the existing client base to become a go-to, trusted advisor for any compliance queries

Experience Required

• 2-5 years’ experience in compliance within financial services, with exposure to regulations applicable to Investment firms
• Experience and knowledge of FCA regulation is essential, with knowledge of AIFMD & MiFID II a big plus
• Ability to manage multiple projects and work streams at once
• Professional qualifications related to the role (CISI Diploma for example) would be hugely advantageous
• Solid work ethic, with ability to work individually and as part of a team on larger projects
• Excellent time-management skills

This is an incredibly high performing area of an already high performing business, so is a great opportunity for any compliance professional relatively early on in their career looking to gain broader exposure and professional development.

For a confidential discussion or to submit your interest in the role, please reach out to [e-mail].

As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.