Job Description
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
1. Assist in monitoring compliance with FCA regulations, particularly SYSC, COBS, DISP, and SM&CR.
2. Support the tracking and implementation of regulatory changes.
3. Help prepare and coordinate communications with the FCA under the guidance of senior compliance staff...