Compliance Associate

A growing Wealth Management business is looking to hire a Compliance Associate to join their Compliance function based in Kent. This is an excellent opportunity to join a collaborative team where you’ll gain broad exposure across core 2nd Line activities including thematic reviews, financial promotions, financial crime, policy development and regulatory reporting. The role offers variety, autonomy and the chance to contribute directly to the firm’s strong client-outcome-focused culture.

Job Requirements:

• Minimum 2 years’ experience working within a Compliance function, ideally in Wealth Management or Financial Planning.
• Experience conducting Thematic or Client Outcome Reviews.
• Strong knowledge of FCA regulations including Consumer Duty.
• Ability to interpret regulation and translate it into clear, practical guidance for stakeholders.
• Strong investigative skills with excellent attention to detail.
• Confident communicator with strong verbal, written and interpersonal skills.
• Highly organised, self-motivated and able to manage multiple priorities.
• Pragmatic approach to problem solving with a strong focus on client outcomes.

Desirable:

• ICA or similar Compliance qualifications
• Level 4 Diploma in Financial Planning.
• Knowledge or experience of Pensions.

Unless otherwise stated, candidates must have the right to work in the UK.

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