Senior Compliance Associate (Wealth and Investments)

JR United Kingdom; Slough; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A leading global provider of asset management and investment technology solutions is seeking an experienced Senior Compliance Associate to support regulatory compliance. You will provide guidance, conduct monitoring, draft policies, and review marketing communications. The role requires strong knowledge of FCA regulations and a minimum of 4 years' experience in the financial services sector.

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 and document compliance monitoring reviews.
• Assist with drafting compliance policies and delivering training.

Skills

Regulatory compliance experience

Knowledge of FCA regulations

Job description

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Senior Compliance Associate (Wealth and Investments), Slough

Client: Broadgate

Location: Slough, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

3

Posted:

10.06.2025

Expiry Date:

25.07.2025

Job Description:

Senior Compliance Associate (wealth or investment 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.

Skills & Knowledge:

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