Compliance Advisory Associate

Associate Director, Risk, Compliance, Financial Crime and Finance Broadgate

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Compliance Advisory Associate

As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators.

Key Responsibilities

• Provide advice, training, and guidance to the business on regulatory matters.
• Work on regulatory horizon scanning and anticipate upcoming regulatory changes.
• Support the review of Financial Promotions.
• Assist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.
• Manage ad hoc regulatory queries from the business.

Experience & Qualifications

• Previous experience in a similar Compliance role within Wealth & Investment Management.
• Detailed, current technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR) and other relevant regimes.
• Strong attention to detail.

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