Banner Default Image

Compliance Associate

  • Location


  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £45000 - £50000 per annum

  • Contact:

    Will Goodman

  • Contact email:

  • Job ref:


  • Published:

    4 months ago

  • Startdate:


My Client, a leading investment firm based in Soho are currently seeking a proactive and diligent individual with a positive attitude to join the Compliance team as a Compliance Associate/Executive. This is an excellent opportunity for someone to apply their regulatory knowledge in a diverse and exciting investment environment in a full scope firm.

Key Responsibilities

  • Maintain all logs including financial promotion, breaches & errors etc.
  • Assist in the delivery of new starter inductions and staff training
  • Conduct Compliance Monitoring including periodic tests of the effectiveness of policies and controls
  • Regulatory returns in Connect and RegData for the group's regulated entities, including Annex IV reporting
  • Review KYC and DD documentation
  • Daily screening of AML alerts
  • Review of financial promotion and marketing material
  • Respond to ad hoc queries from the wider business
  • Prepare and submit relevant applications and reports to the FCA
  • Support the daily and ongoing Compliance activities

Individual Requirements

  • Experience from a generalist compliance role is desirable
  • Bright and hard-working individual who can work independently as well as part of a team
  • A great attitude and willingness to learn and develop
  • A genuine interest in compliance and the investment industry
  • Knowledge of AIFMD and MiFID
  • Ability to handle a varied workload and work within prescribed timelines

We are Social