Compliance Associate

Job Title: Compliance Associate

If you want to know about the requirements for this role, read on for all the relevant information.
Location: Birmingham or Wolverhampton Office (Hybrid Working Available)
Salary: Up to £35,000 per annum
Type: Full-Time, Permanent

Are you an organised and proactive professional with a passion for regulatory compliance? We are seeking a Compliance Associate to support and oversee the compliance function within our respected Independent Financial Adviser (IFA) firm.
This is a fantastic opportunity to play a crucial role in ensuring adherence to both internal procedures and external regulatory standards, helping to manage risk and maintain open, professional relationships with the FCA and other relevant authorities.

Key Responsibilities
Oversight of the Compliance function across the company
Management of regulatory risk across authorised firms
Maintain and manage open, constructive communication with the FCA and relevant authorities, handling reports and enquiries promptly
Design and implement appropriate compliance arrangements in accordance with FCA regulations
Oversee the review and development of the firm’s products and services
Collaborate with business departments to deliver pragmatic and compliant solutions
Oversee and manage remedial actions where regulatory risks arise
Lead regular audits to ensure continuous compliance with FCA requirements
Record findings from client file reviews as part of the business’s management information and escalate actions to senior management where necessary What We’re Looking For We’re looking for someone with a solid understanding of FCA regulations and strong attention to detail. Experience within financial services—particularly in an IFA environment—is preferred. Strong communication, integrity, and a collaborative approach to problem-solving are key.
What\’s on Offer
Office Location: Based in either our Birmingham or Wolverhampton office
Hybrid Working: We’re mid-way through an IT restructure enabling hybrid working – with flexibility around which days are office-based
Working Hours: Flexi-time available, with core hours from 9:00am to 5:00pm
Annual Leave: 25 days holiday plus your birthday off. Increases to 28 days with length of service (3 days typically allocated to the Christmas/New Year period)
Pension: 5% employer contribution
Life Assurance: 4x salary death in service benefit (after 3 months of employment)
Supportive team environment with opportunities for career progression and personal development Ready to make a real impact in a values-driven, professional environment?
Apply now to join a team that values integrity, collaboration, and the highest standards of compliance in financial services