Compliance Senior Associate

Job Description

The successful candidate will join a small compliance team who are 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). The role will include the following:

  • Provide advice and guidance to the business on regulatory and compliance issues as required (such as Suitability, Financial Promotions, TCF, SMCR, Product Governance etc)
  • Analyse and interpret regulatory developments.
  • Conduct risk assessments, gap analysis, monitor and test as part of the overall Compliance Monitoring Plan (CMP), maintain and develop the CMP processes, track action items to resolution, follow-up implementation of recommendations, write reports including recommendations, and provide appropriate management information on progress.
  • Develop and maintain management information.
  • Ensure the submission of regulatory returns to the FCA and respond to standard requests in a timely manner.
  • 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.
  • Supervise 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.
  • Support the development and implementation of the firm’s compliance training programme. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.
  • Any other ad-hoc projects as required.


The ideal candidate will have at least 5 years’ 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 have a good working knowledge of financial services regulation, in particular a 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 and be able to escalate issues when appropriate and as necessary.
  • The ability to interact with multiple levels within the organisation and in an international environment
  • The ability to prioritise, multi-task, and manage both expectations and your time in a fast-paced environment with shifting demands.
  • Have good organisational, research and project management skills.
  • Strong financial and business awareness
  • Legal background would be advantageous

The role would be a good opportunity for someone to work in a high-profile firm, with responsibility for ensuring 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.

Contact details

Please email your CV and cover letter to, with the subject line "Compliance Senior Associate".