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- Tasks: Support compliance activities and manage regulatory reporting in a remote setting.
- Company: A growing wealth management firm with a supportive team culture.
- Benefits: Fully remote role with opportunities for career development.
- Why this job: Join a dynamic team and enhance your compliance skills in a regulated environment.
- Qualifications: Experience in wealth management or financial planning, with knowledge of RegData and FCA Connect.
- Other info: Ideal for those looking to advance from an Administrator role to Compliance Associate.
The predicted salary is between 36000 - 60000 £ per year.
A growing wealth management firm is looking to hire a Compliance Associate to support its day-to-day compliance activities. This is a fully remote role and would suit someone with existing experience in a regulated wealth management or financial planning environment who is looking to develop their career within compliance. The role is hands-on and operational in nature, focusing on core compliance processes, regulatory reporting and Adviser permissions. You will be trusted to manage tasks independently while working as part of a supportive compliance team.
Key Responsibilities
- Managing daily, weekly and monthly compliance tasks
- Monitoring the compliance inbox and responding to or directing queries
- Completing AML and financial crime checks using SmartSearch
- Carrying out new business risk checks using Intelligent Office (IO)
- Assisting with regulatory returns via RegData
- Supporting Adviser permissions, registrations and updates through FCA Connect
- Liaising with an outsourced file-checking provider and tracking follow-up actions
About You
- Experience within a regulated wealth management or financial planning environment
- Some experience or strong exposure to RegData regulatory returns and FCA Connect Adviser permissions (important)
- Comfortable working independently in a remote setting and managing your own workload
- Organised, detail-focused and methodical in approach
- Suitable for someone at Compliance Associate/Junior Compliance Officer level or an Administrator looking to build on existing experience
Compliance Assistant in London employer: IDEX Consulting
Contact Detail:
IDEX Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assistant in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management and compliance sectors. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for virtual interviews by practising common compliance-related questions. We recommend setting up mock interviews with friends or using online platforms to get comfortable with the format.
✨Tip Number 3
Showcase your skills! Create a portfolio or a presentation that highlights your experience with RegData and FCA Connect. This will help you stand out during interviews and demonstrate your hands-on knowledge.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Assistant in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in regulated environments, especially in wealth management or financial planning. We want to see how your skills align with the compliance tasks mentioned in the job description.
Craft a Compelling Cover Letter: Use your cover letter to tell us why you're passionate about compliance and how your previous roles have prepared you for this position. Be sure to mention any specific experience with RegData and FCA Connect, as these are key for us.
Showcase Your Organisational Skills: Since the role involves managing various compliance tasks independently, highlight your organisational abilities. Share examples of how you've successfully managed multiple responsibilities in past roles.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team!
How to prepare for a job interview at IDEX Consulting
✨Know Your Compliance Basics
Make sure you brush up on your knowledge of compliance processes, especially in wealth management. Familiarise yourself with terms like AML, FCA Connect, and RegData. This will show that you're not just interested in the role but also understand the core responsibilities.
✨Showcase Your Organisational Skills
Since the role requires managing multiple compliance tasks, be ready to discuss how you stay organised. Share specific examples from your past experience where you successfully managed your workload, especially in a remote setting.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Think about how you would handle queries in the compliance inbox or manage follow-up actions with an outsourced provider. Practising these scenarios can help you respond confidently.
✨Demonstrate Your Team Spirit
Even though this is a remote role, teamwork is still crucial. Be prepared to talk about how you’ve collaborated with others in previous roles, especially in compliance settings. Highlight your ability to work independently while still being a supportive team member.
