Compliance Advisory Associate (12 Month FTC)

Overview

Responsibilities

• Build and maintain strong working relationships across the business to promote a positive compliance culture.
• Provide advice and guidance to business areas on regulatory requirements, internal compliance policies, and procedures.
• Assist in the implementation of compliance policies, internal controls, and procedures, including developing and delivering compliance training to employees.
• Support compliance projects by collaborating with cross-functional teams and leading specific workstreams where required.
• Produce management information and reporting for governance committees, senior management, and the Board.
• Assist management in ensuring the business operates in line with FCA regulatory requirements, the Conduct Risk framework, Consumer Duty, and industry best practice.
• Provide support to specialist compliance functions, including Monitoring & Testing, Financial Crime, and Regulatory Change initiatives, as required.
• Maintain accurate compliance records and documentation in line with regulatory expectations and internal standards.
• Undertake ad hoc compliance reviews, projects, and other responsibilities as required.

Experience

• Relevant experience in a UK Wealth Management, Investment Management or Private Banking environment.
• Knowledge of UK Regulatory environment and FCA handbook.
• Good product and investment management services knowledge, including investment suitability.
• Professional qualifications such as CISI Diploma in Investment Compliance would be desirable.
• Working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, DISP, Consumer Duty and Conduct Risk.
• Salary: £60,000 pa + benefits package
• Location: Hybrid (3 days per week in London office)
• Work type: 12-month FTC initially