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For Companies At a Glance
- Tasks: Join a collaborative team to ensure compliance and enhance client outcomes.
- Company: A growing Wealth Management business based in Kent.
- Benefits: Gain broad exposure, autonomy, and contribute to a client-focused culture.
- Why this job: Make a real impact in compliance while developing your skills in a dynamic environment.
- Qualifications: Minimum 2 years in Compliance, strong FCA knowledge, and excellent communication skills.
- Other info: Opportunity for career growth and professional development in a supportive team.
The predicted salary is between 36000 - 60000 £ per year.
A growing Wealth Management business is looking to hire a Compliance Associate to join their Compliance function based in Kent. This is an excellent opportunity to join a collaborative team where you’ll gain broad exposure across core 2nd Line activities including thematic reviews, financial promotions, financial crime, policy development and regulatory reporting. The role offers variety, autonomy and the chance to contribute directly to the firm’s strong client-outcome-focused culture.
Job Requirements
- Minimum 2 years’ experience working within a Compliance function, ideally in Wealth Management or Financial Planning.
- Experience conducting Thematic or Client Outcome Reviews.
- Strong knowledge of FCA regulations including Consumer Duty.
- Ability to interpret regulation and translate it into clear, practical guidance for stakeholders.
- Strong investigative skills with excellent attention to detail.
- Confident communicator with strong verbal, written and interpersonal skills.
- Highly organised, self‑motivated and able to manage multiple priorities.
- Pragmatic approach to problem solving with a strong focus on client outcomes.
Desirable
- ICA or similar Compliance qualifications Level 4 Diploma in Financial Planning.
- Knowledge or experience of Pensions.
Unless otherwise stated, candidates must have the right to work in the UK.
Compliance Associate employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Network like a pro! Reach out to your connections in the Wealth Management sector and let them know you're on the hunt for a Compliance Associate role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and recent changes in compliance. We recommend creating a cheat sheet of key points to discuss, especially around Consumer Duty and thematic reviews, so you can impress your interviewers with your knowledge.
✨Tip Number 3
Showcase your investigative skills! During interviews, be ready to share examples of how you've tackled compliance challenges in the past. Use the STAR method (Situation, Task, Action, Result) to structure your answers and highlight your attention to detail.
✨Tip Number 4
Don't forget to apply through our website! We make it super easy for you to find and apply for roles that match your skills. Plus, it shows you're serious about joining our team and helps us keep track of your application.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Associate role. Highlight your experience in compliance, especially in Wealth Management, and showcase any relevant qualifications or skills that match the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background aligns with our client-outcome-focused culture. Be sure to mention specific experiences that demonstrate your investigative skills and attention to detail.
Showcase Your Knowledge of FCA Regulations: Since knowledge of FCA regulations is key for this role, make sure to mention your understanding of Consumer Duty and other relevant regulations in your application. This will show us that you’re not just a good fit, but that you’re ready to hit the ground running!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at CLARC Recruitment
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially the Consumer Duty. Being able to discuss these confidently will show that you understand the compliance landscape and can translate complex regulations into practical guidance.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've conducted thematic reviews or client outcome reviews. This will help demonstrate your hands-on experience and how it aligns with what the company is looking for.
✨Communicate Clearly
As a Compliance Associate, strong communication skills are key. Practice articulating your thoughts clearly and concisely, both verbally and in writing. You might even want to prepare a few questions to ask during the interview to showcase your engagement.
✨Be Organised and Proactive
Demonstrate your organisational skills by managing your time effectively during the interview. Bring along any necessary documents, and be ready to discuss how you prioritise tasks and manage multiple projects in a fast-paced environment.
