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Compliance Associate (9 month FTC)
Salary: £45,000
Location: London
Keywords: Compliance, Associate, Wealth Management, Regulatory Framework, AML Testing
Our client is offering an exciting opportunity for a Compliance Associate to join their dynamic wealth management firm on a 9-month fixed-term contract. This role offers the chance to work within a growing, innovative company that values teamwork, mastery, and empathy. The successful candidate will be responsible for maintaining compliance registers, managing the compliance task workflow, and conducting Anti-Money Laundering (AML) testing. With a competitive salary of £45,000 and based in the vibrant city of London, this role is perfect for someone with a degree and at least two years of compliance experience.
- Opportunity to work within a dynamic wealth management firm
- Responsible for maintaining compliance registers and AML testing
- Competitive salary of £45,000
What you'll do:
As a Compliance Associate, you will play a crucial role in maintaining the integrity of our client's operations. Your primary responsibilities will include maintaining various compliance registers and completing AML testing. You will also assist in identifying efficiencies and automating tasks where possible. Working closely with other business areas, you will develop remedial actions for any findings from your testing. Furthermore, you will provide valuable input on the progress and results of the CMP for management reports. Lastly, you will support the Compliance Officer with regulatory returns to both FCA and SEC.
- Maintain compliance registers including Financial Promotions, UCIS promotion, HTAR clients, and Elective Professional Clients
- Assist in identifying efficiencies and opportunities to automate tasks and processes
- Complete Anti-Money Laundering (AML) testing
- Work with relevant business areas to develop remedial actions for all findings arising from testing
- Provide input on the progress and results of the Compliance Monitoring Plan (CMP) for management body reports
- Assist the Compliance Officer with regulatory returns to both FCA and SEC
What you bring:
The ideal candidate for this Compliance Associate role will bring a wealth of experience and knowledge to our client's team. With at least two years of experience in Compliance, including undertaking monitoring, you have developed strong analytical skills and an excellent attention to detail. Your working knowledge of the UK regulatory framework applicable to a wealth management firm will be invaluable in this role. Your ability to communicate clearly at all levels both internally and externally will ensure smooth operations within the team. Finally, your ability to work under pressure and meet tight deadlines will enable you to thrive in this fast-paced environment.
- Minimum of 2 years Compliance experience including undertaking monitoring
- Working knowledge of the UK regulatory framework applicable to a wealth management firm
- Excellent attention to detail
- Strong analytical skills
- Ability to communicate clearly at all levels both internally and externally
- Ability to work under pressure and meet tight deadlines
What sets this company apart:
Our client is a dynamic wealth management firm that offers a holistic approach in developing and implementing tax-efficient global wealth and asset management strategies. With over a decade of experience in providing cross-border US Wealth Management services, they employ leading global investment strategies and solutions that are both tax efficient and compliant. They are proud to be the UK's first financial services B Corporation member, asserting that businesses can benefit shareholders whilst also solving social and environmental problems.
What's next:
Ready to take the next step in your career? Apply now for this exciting Compliance Associate role!
Apply today by sending your CV and the job title to the email provided in the application process.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
