Compliance Senior Associate

Job Description

The successful applicant will join a small compliance team and will be responsible, along with the rest of the team, for a broad range of compliance matters covering all areas of the firm, and will contribute to the efficient running of the compliance function in the UK. They will report directly to the General Counsel and Head of Compliance (based in London).

Duties will include:

  • Providing advice and guidance to the business on regulatory and compliance issues as required (such as MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc.)
  • Analysing and interpreting regulatory developments
  • Conducting risk assessments and gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintaining and developing the CMP processes, tracking action items to resolution, following-up implementation of recommendations, writing reports including recommendations and providing appropriate management information on progress
  • The development and maintenance of management information
  • Ensuring the submission of regulatory returns to the FCA in a timely manner and responding to standard requests in a timely manner
  • Maintaining the core compliance regulatory registers
  • Drafting and updating internal policies and procedures in line with regulatory developments
  • Supporting the firm’s compliance with Anti-Money Laundering (AML) requirements
  • Helping supervise of some US Compliance activities where appropriate, such as monitoring of personal trading (no need to be a US regulatory expert), as well as supporting and liaising with our Hong Kong and Singapore offices
  • Supporting the development and implementation of the firm’s compliance training programme. Informing, advising and educating business units and senior management on all relevant compliance and AML matters
  • Any other ad-hoc projects as required


The ideal candidate will have experience of operating in a broad compliance role within the Wealth Management or Asset Management space and have a good understanding of the regulatory environment.

Candidates will also ideally have:

  • A good working knowledge of financial services regulation, in particular good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role
  • The ability to work with a large degree of independence, escalating issues when and if necessary
  • Some experience in management is preferable
  • Ability to interact with multiple levels within the organisation in an international environment
  • Ability to prioritise, multi-task, and manage expectations and their time in a fast-paced environment with shifting demands
  • Good organisational, research and project management skills
  • Strong financial and business awareness
  • Legal background would be advantageous

This is a chance to work in a high-profile firm and ensure the compliance function is both robust and fit to support the business.


The salary is competitive and would include a bonus, depending on experience and qualifications.