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Senior Compliance Associate (wealth or investment management)
Location: London – Hybrid
A leading
global provider of asset management and investment technology solutions is seeking an experienced
Senior Compliance Associate will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.
Key Responsibilities:
- Regulatory Advice: Provide day-to-day compliance support and guidance on new regulatory developments.
- Monitoring: Conduct and document compliance monitoring reviews and support implementation of recommendations.
- Policy & Training: Assist with drafting compliance policies and delivering training.
- Marketing Review: Review and approve financial promotions and client communications.
- Complaints & Breaches: Support complaint handling and breach logging, ensuring records are accurate and complete.
Skills & Knowledge:
- 4+ years' regulatory compliance experience in financial services (Ideally worked in wealth or investment management)
- Strong knowledge of FCA regulations (CASS, SMCR, consumer duty, market abuse, trade surveillance)
