Senior Compliance Associate (Asset Management)

JR United Kingdom; London; Hybrid; GBP 50,000 - 80,000; Full time

Job summary

A leading global provider of asset management and investment technology solutions is seeking a Senior Compliance Associate in London. The role involves providing regulatory advice, monitoring compliance activities, and collaborating with internal teams to ensure adherence to FCA regulations. Ideal candidates will have over 4 years of experience in financial services, specifically 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, SMCR, Consumer Duty.

Responsibilities

• Provide day-to-day compliance support and guidance on new regulatory developments.
• Conduct compliance monitoring reviews and support implementation of recommendations.
• Assist with drafting compliance policies and delivering training.

Skills

Regulatory Compliance

FCA Regulations

Monitoring

Policy Drafting

Stakeholder Collaboration

Job description

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Senior Compliance Associate (Asset Management), London

Client: Broadgate

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

1

Posted:

25.05.2025

Expiry Date:

09.07.2025

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 worked in wealth or investment management)
• Strong knowledge of FCA regulations (e.g., CASS, SMCR, Consumer Duty, Market Abuse, Trade Surveillance)