Compliance Associate

  • Location


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  • Salary:

    £25,000 - £30,000

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  • Published:

    about 2 years ago

To contribute to the delivery of an engaging and effective compliance culture within the business, through the delivery of risk-based compliance monitoring, providing advice and guidance on issues and new products and ensuring that the business is operating within a compliant manner.

  • To develop and maintain a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the business, ensuring its regulated business activities are in line with the FCA rules
  • Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend and implement changes
  • Support the delivery of the Compliance monitoring plan by completing monitoring in line with the annual plan, engaging with the business, identifying areas of regulatory risks and issuing a report that appropriately describes the risks and any recommendations.
  • Provide relevant advice and approval to any new products, marketing initiatives or enquiries that may be sent to the team, ensuring that the response is sufficiently documented and recorded.
  • Where appropriate, design and assist with the delivery of be-spoke training to staff and actively review to ensure these remain up to date and reflect the current regulatory environment
  • Monitor and assess all compliance breaches and incidents, providing feedback to the business to support the improvement of knowledge and the quality of incident reporting.
  • Maintain and review all FCA required registers, including complaints, breaches, gifts, staff dealing and incident register
  • Complete and submit reports/registers/returns to various parties (including senior management)
  • Obtain knowledge and awareness of relevant rules and business practices to become an SME in the chosen field
  • Assist in compliance and regulatory change projects as allocated
  • Assist with the update and maintenance of Compliance procedures


  • Experience in working in an FCA regulated environment
  • Ideally a graduate in Law, Business or Finance
  • Relevant professional qualification (IOC/ICSA) or willingness to study for required qualification
  • Excellent communication skills – both written and face to face
  • Ability to use Microsoft Office programmes
  • Proactive and solution focused
  • Applies sound analytical thinking
  • Ability to manage relationships and work collaboratively with stakeholders across the business and externally
  • Demonstrates sound moral and ethical practices
  • Able to sustain long periods of concentration to digest complicate and lengthy text

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.