A fantastic opportunity has arisen for an experienced Compliance Associate to join a growing, dynamic wealth management firm on an initial 9-month fixed-term contract. This position offers genuine potential for a permanent role for the right individual and provides strong exposure across both UK and US regulatory frameworks.
The Opportunity:
You’ll join a collaborative, forward-thinking compliance team in a role that covers a wide range of responsibilities, including regulatory monitoring, AML testing, reporting, and compliance register management. The firm is known for its purpose-driven culture, strong values, and high standards in delivering global wealth management solutions.
Key Responsibilities:
* Maintain and update compliance registers and task workflows
* Conduct AML and thematic testing as part of the Compliance Monitoring Plan
* Assist in regulatory reporting (FCA and SEC)
* Identify process improvement opportunities
* Prepare internal reports and document findings and remedial actions
* Liaise with internal stakeholders and support ongoing regulatory oversight
About You:
* Minimum 2 years’ compliance experience, including monitoring and testing within a wealth management environment.
* Strong working knowledge of the UK regulatory environment (FCA)
* Experience in wealth or investment management preferred
* Degree educated essential; relevant compliance qualifications advantageous
* Highly organised, with strong communication and analytical skills
* Able to thrive in a fast-paced, collaborative environment
Why Apply:
* Hybrid working – 3 days in office, 2 days from home
* Highly competitive salary, plus bonus and strong benefits
* Work in a supportive, purpose-led firm with a global client base
* Clear scope for the role to become permanent
* Gain exposure to both UK and US regulatory frameworks
This is a great role for a compliance professional looking to grow their experience within a values-led, high-performing wealth management environment.