Compliance Associate

£30000 - £35000 + Bonus + Benefits



Our client is a fast growing, dynamic business with market leading positions across our areas of expertise - funds, market services, corporates and private client, and banking and credit management services. With offices across the UK and Europe they are part of a global organisation, headquartered in Australia


To contribute to the delivery of an engaging and effective compliance culture within the business, through the delivery of risk-based compliance monitoring, providing advice and guidance on issues and new products and ensuring that the business is operating within a compliant manner.

  • To develop and maintain a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the business, ensuring its regulated business activities are in line with the FCA rules.
  • Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend and implement changes.
  • Support the delivery of the Compliance monitoring plan by completing monitoring in line with the annual plan, engaging with the business, identifying areas of regulatory risks and issuing a report that appropriately describes the risks and any recommendations.
  • Provide relevant advice and approval to any new products, marketing initiatives or enquiries that may be sent to the team, ensuring that the response is sufficiently documented and recorded.
  • Where appropriate, design and assist with the delivery of be-spoke training to staff and actively review to ensure these remain up to date and reflect the current regulatory environment.
  • Monitor and assess all compliance breaches and incidents, providing feedback to the business to support the improvement of knowledge and the quality of incident reporting.
  • Maintain and review all FCA required registers, including complaints, breaches, gifts, staff dealing and incident register.
  • Complete and submit reports/registers/returns to various parties (including senior management).
  • Obtain knowledge and awareness of relevant rules and business practices to become an SME in the chosen field.
  • Assist in compliance and regulatory change projects as allocated.
  • Assist with the update and maintenance of Compliance procedures.


  • Experience in working in an FCA regulated environment
  • Ideally a graduate in Law, Business or Finance
  • Relevant professional qualification (IOC/ICSA) or willingness to study for required qualification
  • Excellent communication skills - both written and face to face
  • Ability to use Microsoft Office programmes
  • Proactive and solution focused
  • Applies sound analytical thinking
  • Ability to manage relationships and work collaboratively with stakeholders across the business and externally
  • Demonstrates sound moral and ethical practices.
  • Able to sustain long periods of concentration to digest complicate and lengthy text.


  • Regulatory change
  • Compliance monitoring
  • Report writing
  • Innovation, change and continuous improvement
  • Communication
  • Results focused
  • Technical awareness
  • Commercial awareness
  • Customer service
  • Team working
  • Risk and conduct management
  • Negotiating and influencing.
  • Planning and organising