Compliance Senior Associate, London


Role Description

The job holder will join a small compliance team, be responsible for a broad range of compliance matters across 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:

  • Provide advice and guidance to the business on regulatory and compliance issues as required (such as for instance MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc)
  • Analyse and interpret regulatory developments.
  • Conducting risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintain and developing the CMP processes, tracking action items to resolution, follow-up implementation of recommendations, writing reports including recommendations and providing appropriate management information on progress
  • Development and maintenance of management information.
  • Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests.
  • Maintain the core compliance regulatory registers
  • Draft and update internal policies and procedures in line with regulatory developments.
  • Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
  • Support the development and implementation of the firm’s global compliance agenda in US, UK, Singapore and Hong Kong (no need for expertise in local laws)
  • Support the development and implementation of the firm’s compliance training program. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.
  • Any other ad-hoc projects as required

Candidate Profile

The ideal candidate will have at least 3 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.

  • Candidates will also 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.
  • Ability to work with a degree of independence and escalating issues when and if necessary.
  • Ability to interact with multiple levels in an organisation in an international environment
  • Ability to prioritize, multi-task, and manage expectations and 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


Partners Capital is committed to being a great place to work. We are focused both on wellbeing and professional growth. You can expect professional development and career progression opportunities, competitive compensation, exceptional benefits and a flexible “results-focused” working model.

Our benefits package includes private medical and life insurance, income protection and pension contributions. In addition, we partner with organisations to provide wellness benefits. Partners Capital supports global philanthropy via a charity program and provides a volunteer day for all employees. We also champion a variety of social events.

Contact Details

Please send your CV and cover letter to with the subject “Compliance Senior Associate”. Further information about Partners Capital is available on our website