Senior Compliance Associate (Asset Management)

JR United Kingdom; City Of London; Hybrid; GBP 50,000 - 75,000; Full time

Job summary

A leading global provider of asset management is seeking a Senior Compliance Associate in London. This hybrid role involves providing regulatory advice, conducting compliance reviews, and collaborating with internal teams to ensure adherence to FCA regulations. Ideal candidates will have over four years of experience in financial services, particularly in wealth or investment management.

Qualifications

• 4+ years' regulatory compliance experience in financial services, ideally in wealth or investment management.
• Strong knowledge of FCA regulations, including CASS and SMCR.

Responsibilities

• Provide compliance support and guidance on regulatory developments.
• Conduct compliance monitoring reviews and implement recommendations.
• Assist with drafting compliance policies and delivering training.
• Review financial promotions and client communications.
• Support complaint handling and breach logging.
• Assist with internal and regulatory reporting.
• Collaborate with internal teams on compliance matters.

Skills

Regulatory Compliance

FCA Regulations

Job description

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Senior Compliance Associate (Asset Management), London (City of London)

Client: Broadgate

Location: London (City of London), United Kingdom

Job Category: Other

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EU work permit required: Yes

Job Views: 2

Posted: 16.06.2025

Expiry Date: 31.07.2025

Job Description:

Senior Compliance Associate (Asset Management)

Location: London – Hybrid

A leading global provider of asset management and investment technology solutions is seeking an experienced Senior Compliance Associate to support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.

Key Responsibilities:

• Regulatory Advice: Provide day-to-day compliance support and guidance on new regulatory developments.
• Monitoring: Conduct and document compliance monitoring reviews and support implementation of recommendations.
• Policy & Training: Assist with drafting compliance policies and delivering training.
• Marketing Review: Review and approve financial promotions and client communications.
• Complaints & Breaches: Support complaint handling and breach logging, ensuring records are accurate and complete.
• Reporting: Assist with internal and regulatory reporting, including MI for senior management.
• Stakeholder Collaboration: Work with internal teams (Legal, Risk, Audit) on compliance-related matters.

Skills & Knowledge:

• 4+ years' regulatory compliance experience in financial services (Ideally in wealth or investment management)
• Strong knowledge of FCA regulations (e.g., CASS, SMCR, consumer duty, market abuse, trade surveillance, UCITS, financial promotions)