Senior Compliance Associate

  • Location:

    London, England

  • Sector:

    Financial Services

  • Job type:


  • Salary:

    Extensive Benefits and Bonus

  • Contact:

    Nick Tagg

  • Contact email:

  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


  • Start date:


Senior Compliance Associate - Investments Team

Leading and rapidly expanding Compliance Consultancy are seeking an experienced Senior Compliance Associate to join their Investments Compliance Team. Overall you will assist in delivering a range of compliance solutions to the teams' clients. You will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active.

Key Responsibilities:

* Assisting to draft applications for FCA authorisation and variations of permission for MiFID firms.
* Keeping up to date with FCA regulatory rules, particularly for MiFID firms
* Assisting with reviewing Financial Promotions
* Undertaking a check the checker role, providing a referral point to newer colleagues
* Compilation of reports on request
* Undertaking specific projects as required
* Conducting file reviews
* Writing audit reports with a reasonable level of support from colleagues
* Undertaking assisted client visits, moving towards unassisted visits
* Assisting with the FCA Approved Person take on process for regulated clients
* Providing general administrative support to senior investments compliance team colleagues
* Assisting with the development of compliance policies and procedures
* Recognition and escalation of issues to appropriate team members
* This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position



* Commercial Awareness: must be mindful of the commercial objectives of the firm when delivering compliance assistance
* Commitment & enthusiasm: should have a desire to see the firm succeed
* Embraces change: should be adaptable to the changing requirements of the regulations and be keen to develop new skills
* Communication skills: should be able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the regulations
* Personal Credibility: must be able to establish and maintain trusting relationships with others
* Team working: fosters effective and productive working relationships. Should be considerate to the needs and opinions of others
* Individual working: must be able to work under own initiative, identifying when referral needs to be made
* Pro-active: must actively seek other tasks if successfully completed current tasks


* Attention to detail: all work must be completed with the focus on quality
* Technical skills: Advanced/Intermediate MS Excel, MS Word and PowerPoint
* Problem Solving: demonstrates an ability to solve problems in a rational manner
* Application of regulation: must gain and maintain a detailed understanding of FCA regulation and be able to apply this to the business requirements of the firm
* Understanding: demonstrates an awareness of the immediate and the wider implications when applying regulation in practice
* Planning & organising: organises and plans effectively
* Time management: must be able to prioritise and manage time and tasks effectively; this includes a readiness to delegate where possible


* Relevant Financial services background and experience essential
* Educational attainment at degree level not essential but would be an advantage
* Demonstrable strong standard of Maths and English literacy

Key Deliverables (Objectives)

* High, consistent accuracy and meeting the defined target in respect of the check the checker role
* Provides clear, consistent advice if referral made from newer colleague
* Completion of correct assessment of a financial promotion with limited support
* A high degree of accuracy in completing any documentation, especially client documentation
* Provides good, clear reports
* Writing audit reports seeking assistance if/when required
* Undertaking assisted client visits and progressing towards unassisted visits
* Demonstrates ability to manage and prioritise workload
* Demonstrates ability and understanding in undertaking project work
* Keen to accept new challenges and committed to personal development including professional qualifications

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.