Compliance Associate
Wealth Management
Hertfordshire
£50k-£65k DoE
About Us
We are a leading financial advice and wealth management firm, offering personalised financial planning, investment management, and wealth protection services to individuals and families. As a business regulated by the Financial Conduct Authority (FCA), we are committed to the highest standards of integrity, professionalism, and compliance.
Role Summary
We are seeking a Compliance Associate to support the development and ongoing maintenance of the firm’s compliance framework. The role will focus on assisting with the delivery of day-to-day compliance activities, ensuring the firm continues to meet all relevant regulatory obligations under FCA rules. This is an excellent opportunity to gain hands-on experience in a growing and regulated financial services environment.
Key Responsibilities
Regulatory Support
* Assist in monitoring compliance with FCA regulations, particularly SYSC, COBS, DISP, and SM&CR.
* Support the tracking and implementation of regulatory changes.
* Help prepare and coordinate communications with the FCA under the guidance of senior compliance staff.
Regulatory Reporting
* Contribute to the preparation and submission of FCA regulatory returns (e.g., RMAR, RegData submissions).
* Maintain documentation and evidence of regulatory reporting processes.
* Help ensure timely and accurate reporting in collaboration with the Compliance Manager.
Policies & Procedures
* Assist in drafting, updating, and maintaining compliance policies, manuals, and internal guidance.
* Support the dissemination of compliance materials to staff and advisers.
Monitoring & Audit
* Conduct periodic compliance monitoring checks and reviews under the direction of the Compliance Manager.
* Record findings and help track follow-up actions.
Risk & Controls
* Help maintain the compliance risk register and support ongoing risk assessments.
* Identify areas of non-compliance or emerging risks and escalate appropriately.
Training & Awareness
* Assist in coordinating and delivering internal training on key regulatory topics such as financial promotions, data protection, and complaints.
* Support efforts to embed a strong compliance culture across the business.
File Reviews & Adviser Oversight
* Assist with file checking processes to ensure advice standards and regulatory expectations are met.
* Contribute to adviser oversight activities and competence tracking.
Complaint Handling
* Support the logging, investigation, and resolution of client complaints.
* Help analyse trends and assist with remedial actions where required.
Skills & Experience Required
* Previous experience in a compliance, risk, or regulatory support role within a financial services firm (ideally FCA-regulated).
* Working knowledge of FCA regulations and reporting requirements.
* Proficient in Microsoft Office and comfortable handling data and reports.
* Strong attention to detail, organisational skills, and willingness to learn.
* Clear communication skills and a proactive approach to problem-solving.