Regulatory Operations Assistant

One Ten Associates Ltd; Greater London; On-site; GBP 25,000 - 35,000; Full time

Job summary

A leading investment management firm in London is seeking a motivated Regulatory Operations Assistant to join their Regulatory Team. This role is ideal for recent graduates looking to develop a career in operations and compliance, providing essential experience in a regulated environment. Responsibilities include drafting FCA documentation, conducting background checks, and managing client data, alongside opportunities for professional growth.

Qualifications

• Strong interest in operational roles within investment management.
• Able to follow established processes accurately.
• Experience with client interaction in a professional environment.

Responsibilities

• Drafting and preparing on-boarding documentation for FCA submissions.
• Conducting background screenings on new clients.
• Assisting in the preparation for Regulatory reporting.

Skills

Highly organized

Confident communicator

Detail-focused

Familiarity with CRM systems

Understanding of regulatory frameworks

Education

Recent graduate or early-career professional

Tools

CRM systems

Sharepoint

Job description

Are you someone who enjoys detailed work, following established processes and is looking to build a career within Operations, Risk or Compliance? If so, this could be an excellent opportunity for you.

Our client, a market‑leading Investment Manager based in central London, is seeking a motivated Regulatory Operations Assistant to join their well‑established Regulatory Team. This is a fantastic role for a recent graduate or an early‑career professional eager to grow within a highly regulated, process‑driven environment.

Key Responsibilities

• Drafting and preparing on‑boarding documentation for FCA submissions.
• Conducting background screenings on new clients and following up where necessary.
• Assisting in the preparation and coordination of materials for Regulatory and FCA reporting.
• Managing client data using CRM systems and maintaining accurate records on Sharepoint.
• Supporting interaction and communication with hosted managers and their service providers.

Desired Profile

• Highly organised, detail‑focused and comfortable working within structured processes.
• Confident communicator with the ability to work with multiple stakeholders.
• Familiarity with CRM systems and document management platforms (e.g., Sharepoint) is beneficial.
• A genuine interest in regulatory frameworks, investment management operations or compliance.

This is a great opportunity to join a respected, market‑leading Investment Management firm, giving the successful candidate the chance to build core experience in a growing regulatory operations space and to work alongside an experienced team with opportunities for development.