Overview
Compliance & T&C Associate
* Location: Bath - Hybrid
* Job Type: Full-time
Responsibilities
* Liaise with various teams to address compliance issues and provide management data to assist in regulatory reporting.
* Assist in the production of quarterly compliance reports and handle initial stage complaints, progressing to management of cases.
* Maintain the Compliance Monitoring Plan and assist with annual Fit and Proper assessments.
* Conduct reviews of client files to ensure adherence to standards (disclosure, AML, etc.), providing feedback and tracking remedial actions.
* Establish and maintain effective relationships with key compliance groups, ensuring regular communication about compliance matters.
Qualifications
* Excellent communication, influencing, and analytical skills.
* Proficient in office-based software with a high level of attention to detail.
* Understanding of FCA rules and guidance relevant to financial advice and wealth management.
* Experience in a financial advice or wealth management firm is essential.
* Desirable: CII Diploma in Financial Planning or equivalent, and experience in a compliance or supervisory role within the sector.
Professional Growth Plan
* Year 2: Development Stage – Gain independence in managing compliance processes, support regulatory due diligence activities, and ensure the implementation of robust compliance procedures.
* Year 3: Strategic Stage – Transition to Compliance Executive, serve as a central point of contact for compliance matters, lead the development of internal policies, and act as Deputy Data Protection Officer.
Benefits
* Structured professional development, including support towards achieving Advanced Diploma qualifications.
* Opportunity to grow into a strategic leadership role within the compliance and competence management areas.
To apply for the Compliance & T&C Associate position, please submit your CV and cover letter detailing your relevant experience and why you are interested in this role.
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