Compliance Associate – Wealth Management

A wealth management business is hiring a Compliance Associate to join its Compliance team. This is a generalist role suited to someone comfortable working across a broad range of compliance duties.

The ideal candidate will have around 12 months' compliance experience gained within a similar

financial services business.

You'll join a collaborative, friendly team that offers strong support and genuine opportunities to develop your compliance knowledge further.

Job Requirements

1. Maintain internal registers (Insiders, Breaches & Incidents, Gifts & Entertainment, Personal Trades, Conflicts of Interest, Training)
2. Design and run monitoring processes covering client/personal trades, transactions, communications and social media
3. Manage online monitoring systems and liaise with providers on market abuse, insider dealing, best execution and vulnerable client issues
4. Carry out ad hoc compliance reviews and assurance checks
5. Develop and deliver training plans, including online and in-person sessions
6. Handle internal and interdepartmental compliance requests
7. Review and write compliance policies and procedures
8. Process wall-crossing notifications and escalate STORs
9. Produce regular MI reports and compliance data
10. Support the wider team.

Unless otherwise stated, candidates must have the right to work in the UK.

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