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- Tasks: Support compliance activities and ensure regulatory obligations are met in a dynamic financial environment.
- Company: Join a leading wealth management firm dedicated to integrity and personalised financial services.
- Benefits: Enjoy competitive salary, professional development opportunities, and a supportive team culture.
- Why this job: Gain hands-on experience in compliance while contributing to a strong ethical culture in finance.
- Qualifications: Previous experience in compliance or risk roles is preferred; strong attention to detail is essential.
- Other info: Ideal for those looking to kickstart their career in a regulated financial services setting.
The predicted salary is between 43000 - 65000 £ per year.
We are a leading financial advice and wealth management firm, offering personalised financial planning, investment management, and wealth protection services to individuals and families. As a business regulated by the Financial Conduct Authority (FCA), we are committed to the highest standards of integrity, professionalism, and compliance.
We are seeking a Compliance Associate to support the development and ongoing maintenance of the firm’s compliance framework. The role will focus on assisting with the delivery of day-to-day compliance activities, ensuring the firm continues to meet all relevant regulatory obligations under FCA rules. This is an excellent opportunity to gain hands-on experience in a growing and regulated financial services environment.
Key Responsibilities- Regulatory Support
- Assist in monitoring compliance with FCA regulations, particularly SYSC, COBS, DISP, and SM&CR.
- Support the tracking and implementation of regulatory changes.
- Help prepare and coordinate communications with the FCA under the guidance of senior compliance staff.
- Regulatory Reporting
- Contribute to the preparation and submission of FCA regulatory returns (e.g., RMAR, RegData submissions).
- Maintain documentation and evidence of regulatory reporting processes.
- Help ensure timely and accurate reporting in collaboration with the Compliance Manager.
- Policies & Procedures
- Assist in drafting, updating, and maintaining compliance policies, manuals, and internal guidance.
- Support the dissemination of compliance materials to staff and advisers.
- Monitoring & Audit
- Conduct periodic compliance monitoring checks and reviews under the direction of the Compliance Manager.
- Record findings and help track follow-up actions.
- Risk & Controls
- Help maintain the compliance risk register and support ongoing risk assessments.
- Identify areas of non-compliance or emerging risks and escalate appropriately.
- Training & Awareness
- Assist in coordinating and delivering internal training on key regulatory topics such as financial promotions, data protection, and complaints.
- Support efforts to embed a strong compliance culture across the business.
- File Reviews & Adviser Oversight
- Assist with file checking processes to ensure advice standards and regulatory expectations are met.
- Contribute to adviser oversight activities and competence tracking.
- Complaint Handling
- Support the logging, investigation, and resolution of client complaints.
- Help analyse trends and assist with remedial actions where required.
- Previous experience in a compliance, risk, or regulatory support role within a financial services firm (ideally FCA-regulated).
- Working knowledge of FCA regulations and reporting requirements.
- Proficient in Microsoft Office and comfortable handling data and reports.
- Strong attention to detail, organisational skills, and willingness to learn.
- Clear communication skills and a proactive approach to problem-solving.
Compliance Associate employer: fs talent
Contact Detail:
fs talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Familiarise yourself with FCA regulations, especially SYSC, COBS, DISP, and SM&CR. Understanding these frameworks will not only help you in the interview but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the financial services sector, particularly those working in compliance roles. Engaging with them can provide insights into the industry and may even lead to referrals for the position.
✨Tip Number 3
Stay updated on recent regulatory changes and trends in compliance. Being knowledgeable about current events in the financial sector will show your proactive approach and genuine interest in the role.
✨Tip Number 4
Prepare to discuss specific examples of how you've handled compliance issues or contributed to a compliance culture in previous roles. Real-life scenarios can illustrate your skills and experience effectively during the interview.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, risk, or regulatory support roles. Emphasise any familiarity with FCA regulations and reporting requirements, as this will be crucial for the Compliance Associate position.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention specific skills that align with the job description, such as attention to detail and communication skills, and provide examples of how you've demonstrated these in previous roles.
Showcase Relevant Experience: When detailing your work history, focus on experiences that relate directly to the responsibilities listed in the job description. Highlight any tasks involving regulatory support, compliance monitoring, or training delivery to demonstrate your suitability for the role.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is essential for a Compliance Associate.
How to prepare for a job interview at fs talent
✨Know Your FCA Regulations
Make sure you have a solid understanding of the FCA regulations relevant to the role, such as SYSC, COBS, and SM&CR. Being able to discuss these regulations confidently will show your potential employer that you're serious about compliance.
✨Demonstrate Attention to Detail
As a Compliance Associate, attention to detail is crucial. Prepare examples from your past experience where your meticulous nature helped identify compliance issues or improved processes. This will highlight your suitability for the role.
✨Showcase Your Communication Skills
Clear communication is key in compliance roles. Be ready to discuss how you've effectively communicated complex regulatory information to colleagues or clients in the past. This will demonstrate your ability to foster a strong compliance culture.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think through potential compliance challenges and how you would address them, showcasing your proactive approach and critical thinking.
