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

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

Regulatory Reporting

• Contribute to the preparation and submission of FCA regulatory returns (e.g., RMAR, RegData submissions).
• Maintain documentation and evidence of regulatory reporting processes.
• Help ensure timely and accurate reporting in collaboration with the Compliance Manager.

Policies & Procedures

• Assist in drafting, updating, and maintaining compliance policies, manuals, and internal guidance.
• Support the dissemination of compliance materials to staff and advisers.

Monitoring & Audit

• Conduct periodic compliance monitoring checks and reviews under the direction of the Compliance Manager.
• Record findings and help track follow-up actions.

Risk & Controls

• Help maintain the compliance risk register and support ongoing risk assessments.
• Identify areas of non-compliance or emerging risks and escalate appropriately.

Training & Awareness

• Assist in coordinating and delivering internal training on key regulatory topics such as financial promotions, data protection, and complaints.
• Support efforts to embed a strong compliance culture across the business.

File Reviews & Adviser Oversight

• Assist with file checking processes to ensure advice standards and regulatory expectations are met.
• Contribute to adviser oversight activities and competence tracking.

Complaint Handling

• Support the logging, investigation, and resolution of client complaints.
• Help analyse trends and assist with remedial actions where required.

Skills & Experience Required

• Previous experience in a compliance, risk, or regulatory support role within a financial services firm (ideally FCA-regulated).
• Working knowledge of FCA regulations and reporting requirements.
• Proficient in Microsoft Office and comfortable handling data and reports.
• Strong attention to detail, organisational skills, and willingness to learn.
• Clear communication skills and a proactive approach to problem-solving.