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Compliance Associate

  • Location: Chester, United States of America
  • Salary: c£35,000 pa + Benefits per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Expiry Date: 01 August 2021
  • Job Ref: PC/10101C

My client is currently seeking to increase its compliance function and is in search of a Compliance Associate to assist the Compliance Manager with all aspects of the Company’s internal systems and controls and FCA record keeping requirements.

Key responsibilities include:

  • Regulatory ‘Horizon’ Scanning
  • Assisting with Compliance Monitoring
  • Assisting with development and maintenance of regulatory frameworks
  • File reviews
  • Assisting with External Audits
  • Quality Assurance checks

The Person:

  • Previous Compliance experience within a Wealth Management business
  • Ideally you will have the Level 4 Diploma in Financial Planning or already be working towards this
  • Knowledge of FCA regulations

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.