Compliance Associate

We’re working with a well-respected, progressive and client-focused holistic IFA company that’s known for its longstanding client relationships and commitment to exceptional service.  They are looking for a diligent Compliance Associate who is ready to build a long-term career in the compliance function. This role offers the chance to gain hands-on experience in all areas of regulatory compliance, supporting the Head of Compliance and working closely with stakeholders across the business.

This is an ideal opportunity for someone looking to deepen their understanding of FCA regulations, strengthen their governance knowledge, and progress towards a Compliance Officer role in the future. Full training and support will be provided.

Your role:

• Supporting the Head of Compliance in maintaining a robust compliance framework across the business
• Helping to manage regulatory risk and ensure adherence to FCA regulations
• Assisting with regulatory reporting and responding to information requests from the Regulator
• Supporting the design and implementation of compliant business processes and procedures
• Collaborating with operational teams to ensure practical compliance solutions
• Helping to oversee client file reviews, training records, and regulatory audits
• Supporting Approved Persons processes, including Fit & Proper assessments and role updates
• Monitoring management information for trends and preparing reports for senior management
• Ensuring regulatory training is delivered and up to date for all staff
• Assisting with systems and controls reviews across functions such as complaints, T&C, and vulnerable clients
• Helping to manage and maintain compliance documentation, registers, and frameworks
• Coordinating with third-party compliance providers where required
• Reviewing any complaints, training staff in complaints procedure, and supporting the complaints handling procedures in line with regulatory requirements

Does this describe you?

• Previous experience in a financial services environment, ideally in an administrative or compliance support role
• Familiarity with FCA regulations or a strong interest in developing expertise in this area
• Excellent attention to detail and a methodical, organised approach
• Confident communicator with the ability to handle sensitive and confidential information
• Ability to manage multiple tasks and prioritise effectively, with a love of project management
• Proficient with Microsoft Office and able to maintain accurate records and reports
• Financial services qualifications (e.g. CII, CISI) or working towards them would be an advantage
• A self-starter with a desire to build a long-term career in compliance

If you’re ready to join a growing, dynamic team people stay and thrive, apply today!