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- Tasks: Join a dynamic team managing compliance tasks like regulatory monitoring and AML testing.
- Company: A growing wealth management firm known for its purpose-driven culture and high standards.
- Benefits: Enjoy hybrid working, competitive salary, bonuses, and strong benefits.
- Why this job: Gain valuable experience in UK and US regulations within a supportive, values-led environment.
- Qualifications: Minimum 2 years' compliance experience in wealth management; strong analytical and communication skills required.
- Other info: Potential for the role to become permanent after the initial contract.
The predicted salary is between 28800 - 48000 ÂŁ per year.
This range is provided by mbf. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
A fantastic opportunity has arisen for an experienced Compliance Associate to join a growing, dynamic wealth management firm on an initial 9-month fixed-term contract. This position offers genuine potential for a permanent role for the right individual and provides strong exposure across both UK and US regulatory frameworks.
The Opportunity:
You’ll join a collaborative, forward-thinking compliance team in a role that covers a wide range of responsibilities, including regulatory monitoring, AML testing, reporting, and compliance register management. The firm is known for its purpose-driven culture, strong values, and high standards in delivering global wealth management solutions.
Key Responsibilities:
- Maintain and update compliance registers and task workflows
- Conduct AML and thematic testing as part of the Compliance Monitoring Plan
- Assist in regulatory reporting (FCA and SEC)
- Identify process improvement opportunities
- Prepare internal reports and document findings and remedial actions
- Liaise with internal stakeholders and support ongoing regulatory oversight
About You:
- Minimum 2 years’ compliance experience, including monitoring and testing within a wealth management environment.
- Strong working knowledge of the UK regulatory environment (FCA)
- Experience in wealth or investment management preferred
- Highly organised, with strong communication and analytical skills
- Able to thrive in a fast-paced, collaborative environment
Why Apply:
- Hybrid working – 3 days in office, 2 days from home
- Highly competitive salary , plus bonus and strong benefits
- Work in a supportive, purpose-led firm with a global client base
- Clear scope for the role to become permanent
- Gain exposure to both UK and US regulatory frameworks
This is a great role for a compliance professional looking to grow their experience within a values-led, high-performing wealth management environment.
Seniority level
-
Seniority level
Associate
Employment type
-
Employment type
Full-time
Job function
-
Job function
Finance
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Compliance Associate employer: mbf
Contact Detail:
mbf Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate
✨Tip Number 1
Familiarise yourself with both UK and US regulatory frameworks, especially the FCA and SEC. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the compliance landscape relevant to the role.
✨Tip Number 2
Network with professionals in the wealth management sector, particularly those who work in compliance. Engaging with industry peers can provide valuable insights and potentially lead to referrals, which can significantly boost your chances of landing the job.
✨Tip Number 3
Prepare to discuss specific examples from your previous compliance experience, particularly related to AML testing and regulatory reporting. Being able to articulate your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Showcase your organisational skills by discussing how you've managed compliance registers or task workflows in past roles. Highlighting your ability to stay organised in a fast-paced environment will resonate well with the hiring team.
We think you need these skills to ace Compliance Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, particularly in wealth management. Emphasise your knowledge of UK regulatory frameworks and any relevant AML testing or monitoring roles you've held.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the firm's values. Mention specific experiences that align with the responsibilities listed in the job description, such as regulatory reporting or process improvement.
Highlight Relevant Skills: In your application, clearly outline your strong communication and analytical skills. Provide examples of how you've successfully worked in fast-paced environments and collaborated with internal stakeholders.
Prepare for Potential Questions: Think about common interview questions related to compliance and be ready to discuss your previous experiences. Prepare to explain how you would approach tasks like maintaining compliance registers or conducting AML testing.
How to prepare for a job interview at mbf
✨Know Your Regulations
Familiarise yourself with both UK and US regulatory frameworks, especially the FCA and SEC. Being able to discuss these regulations confidently will show your expertise and readiness for the role.
✨Demonstrate Your Experience
Prepare specific examples from your previous compliance roles that highlight your experience in monitoring, testing, and reporting. This will help you illustrate your skills and how they align with the job requirements.
✨Showcase Your Organisational Skills
Since the role requires strong organisational abilities, be ready to discuss how you manage compliance registers and task workflows. Mention any tools or methods you use to stay organised and efficient.
✨Emphasise Collaboration
The firm values a collaborative environment, so be prepared to talk about how you work with internal stakeholders. Share examples of successful teamwork and how you contribute to a positive team dynamic.
