Compliance Associate

  • Location

    Newcastle upon Tyne

  • Discipline:


  • Job type:


  • Salary:

    £30,000 - £35,000 + benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    over 2 years ago

The Compliance Associate will work alongside a team of compliance experts in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance.

The role will involve:

  • Perform day to day Compliance Monitoring tasks following a Monitoring Plan
  • Assist in reviewing client systems and controls in respect of conduct risk and business risks
  • Conduct file reviews and special compliance projects
  • Undertake monitoring reviews and investigation of breaches
  • Review and approve financial promotions
  • Draft compliance monitoring reports

Key Requirements:

  •  2-3 years’ experience within an FCA regulated services firm, within a Compliance function
  • Excellent client facing skills
  • A-level and Bachelor’s degree preferred