Compliance Associate

We’re working with a well-respected, progressive, client-focused, whole of market wealth management company. This holistic IFA firm prides itself on its established commitment to exceptional service to their clients, and its happy workplace.  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 Compliance Director 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.

Your role:

• Keep up to date with evolving regulatory requirements and industry best practice, ensuring knowledge remains current and relevant
• Review and enhance internal policies and procedures to reflect regulatory developments
• Carry out file reviews both before and after advice is delivered, providing clear and constructive feedback to advisers
• Lead regular Training & Competency (T&C) one-to-one sessions to support adviser development and standards
• Identify, investigate and resolve any compliance issues or potential breaches in a timely and thorough manner
• Produce and support regulatory reporting through the collection and analysis of compliance data and management information
• Develop and deliver training content to colleagues on key compliance topics and regulatory expectations
• Maintain accurate and up-to-date records of all compliance-related activities
• Work closely with advisers and operational teams to promote a consistent, business-wide approach to compliance
• Ensure adherence to internal compliance frameworks across all areas of the business

Does this describe you?

• Diploma, or equivalent Level 4 qualified
• Ideally previous experience (2 years plus) in a financial services environment, in an administrative, regulatory or compliance support role
• Familiarity with FCA regulations and frameworks
• 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, strong analytical skills with a love of project management and problem solving
• Proficient with Microsoft Office and able to maintain accurate records and reports, a knowledge of MCOB

If you’re ready to join a very positive work environment in a growing, dynamic wealth management company where people stay and thrive, apply today for this Compliance Associate role!