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Compliance Assistant - Investment Manager
Job summary
A leading investment management firm in London is seeking a Compliance Assistant to support its compliance functions. The role offers a competitive salary between £45,000 to £55,000 and extensive benefits, including a pension scheme and professional qualification support. The ideal candidate will have a degree and 2-4 years of compliance experience in FCA-regulated environments. This permanent position promises opportunities for professional development within a respected organisation.
Benefits
Qualifications
- 2-4 years experience in FCA-regulated environments.
- Hands-on experience in compliance frameworks and regulatory processes.
- Strong interest in investment management.
Responsibilities
- Act as a key representative of the Compliance Department.
- Support the Compliance Monitoring Programme and maintain key logs.
- Assist with maintaining the Central Compliance System.
- Investigate onboarding results and support ongoing CDD.
- Manage eLearning modules and contribute to MI reporting.
Skills
Education
Tools
- Permanent Compliance Assistant role
- Award-winning investment manager in Central London
This opportunity is with an award-winning, medium-sized investment manager based in Central London. The company is focused on delivering long-term and sustainable investment services across several internal divisions.
- Compliance Advocacy & Coordination: Act as a key representative of the Compliance Department, promoting its value and coordinating team activities, including policy updates.
- Monitoring & Reporting: Support the Compliance Monitoring Programme and maintain key logs/registers (e.g. breaches, complaints, FCA interactions).
- System & Data Management: Assist with maintaining the Central Compliance System (MCO), regulatory submissions, and dashboards (monthly monitoring and Consumer Duty).
- Financial Crime Oversight: Investigate onboarding results, monitor screening alerts (PEPs, sanctions), and support ongoing CDD for existing relationships.
- Training & MI: Manage eLearning modules, analyse training data, and contribute to MI reporting and staff compliance engagement.
The successful candidate should have:
- Education: Degree educated with a strong interest in investment management and a desire to grow as a generalist compliance professional.
- Compliance & Financial Crime Experience: 2-4 years experience in FCA-regulated environments with hands‑on experience in compliance frameworks, monitoring, and regulatory processes.
- Technical & Analytical Skills: Proficient in handling large data sets with preferred skills in Excel and PowerBI; familiar with verification systems and compliance platforms.
- Core Competencies: Detail‑oriented, well‑organised, with strong time management and communication skills; proactive and accountable in approach.
- Competitive salary ranging from £45,000 to £55,000.
- Comprehensive pension scheme + bonus + qualification support (ICA & CISI).
- Opportunity to be part of a professional and growing organisation in London.
- A permanent position with room for professional growth.
If you are ready to make an impact in the financial services industry and contribute to a respected organisation in London, we encourage you to apply today.
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.