Senior Compliance Associate (Asset Management)

ZipRecruiter; London; Hybrid; GBP 70,000 - 75,000; Full time

Job summary

A leading global provider in asset management seeks a Senior Compliance Associate to deliver regulatory advice, oversee compliance documentation, and educate staff on regulatory matters. This role requires experience in regulatory compliance, particularly in wealth or investment management, with a strong understanding of FCA regulations.

Qualifications

• 4+ years' regulatory compliance experience in financial services.
• Strong knowledge of FCA regulations including CASS, SMCR, consumer duty.

Responsibilities

• Provide regulatory advice and compliance support.
• Conduct compliance monitoring reviews and assist with training.
• Review and approve financial promotions and manage complaints.

Skills

Regulatory Compliance Experience

Knowledge of FCA Regulations

Job description

Job Description

Senior Compliance Associate (Asset Management)

Location: London – Hybrid

£70,000 - £75,000

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)