Strategic Compliance Associate, Global Finance

Lazard; Greater London; On-site; GBP 42,000 - 65,000; Full time

Job summary

Lazard, a leading global financial advisory and asset management firm, is seeking a Compliance Associate to join the Legal & Compliance function in London. This hands-on role supports the Compliance Director across regulatory advisory, conduct and ethics, financial crime prevention, and day-to-day compliance monitoring and reporting.

The successful candidate will have 3–5 years of relevant experience, a Bachelor’s degree, and a strong grasp of FCA rules, MiFID II, and AML/CTF requirements, with

Qualifications

• 3–5 years of experience in a compliance, regulatory, legal, audit, or risk function, ideally within financial services, asset management, or a professional services environment.
• Bachelor’s degree required; a relevant professional qualification (e.g., ICA Certificate/Diploma in Compliance, CISI, CAMS) is an advantage.
• Working knowledge of relevant regulatory frameworks (e.g., FCA rules, MiFID II, AML/CTF requirements) as applicable to the role’s jurisdiction.
• Experience supporting compliance monitoring, advisory, or financial crime functions preferred.
• Strong analytical and problem‑solving skills, with the ability to interpret regulatory requirements and apply them practically.
• Excellent written and verbal communication skills, with the ability to engage confidently with stakeholders at all levels.
• High degree of integrity, discretion, and sound judgment when handling confidential and sensitive information.
• Strong organisational skills and attention to detail, with the ability to manage multiple priorities under deadline pressure.
• Proficiency in Microsoft Office (Excel, PowerPoint, Word); familiarity with compliance monitoring or case management systems is a plus.

Responsibilities

• Provide day‑to‑day compliance advisory support to the Compliance Director, the General Counsel and other stakeholders on regulatory requirements, firm policies and procedures
• Support the design, execution and documentation of the compliance monitoring and testing programme, including preparation of monitoring plans, execution of thematic and risk‑based reviews, and documentation of findings.
• Assist with the identification, escalation, and remediation of compliance issues, breaches, and control gaps including those arising from monitoring activity.
• Undertake client due diligence (CDD) and enhanced due diligence (EDD) for new and existing advisory clients, including identification and verification of beneficial owners.
• Handle screening of clients and counterparties against sanctions lists, PEP databases, and adverse media sources, escalating higher‑risk cases to the Compliance Director,
• Ensure the integrity of the firm’s KYC records, setting standards for accuracy and completeness in line with internal policies and applicable regulations.
• Assist with the administration of processes relating to personal account dealing, outside business interests, gifts and entertainment and the compliance training programme.
• Contribute to regulatory change management, including horizon‑scanning, impact assessments, and implementation of new or amended regulatory requirements (e.g., FCA, or other applicable regulators).
• Support preparation of responses to regulatory enquiries.
• Support the preparation of compliance reporting for senior management, committees, and the Board, including metrics, dashboards, and narrative commentary.
• Support the update of compliance policies, procedures, and training materials.
• Liaise with Legal, Risk, Internal Audit, and business units to ensure a coordinated approach to compliance risk management.
• Coordinate with compliance colleagues across Lazard’s European offices to support the consistent implementation of group compliance standards.
• Assist with the maintenance of compliance systems, trackers, and registers, ensuring accuracy and completeness of records.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Integrity

Organizational skills

Education

Bachelor’s degree

ICA/CISI/CAMS qualification

Tools

Microsoft Office

Job description

Lazard, a leading global financial advisory and asset management firm, is seeking a Compliance Associate to join the Legal & Compliance function in London. This hands-on role supports the Compliance Director across regulatory advisory, conduct and ethics, financial crime prevention, and day-to-day compliance monitoring and reporting.

The successful candidate will have 3–5 years of relevant experience, a Bachelor’s degree, and a strong grasp of FCA rules, MiFID II, and AML/CTF requirements, with