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Job Specification

Compliance Associate - Asset/Wealth Management or Financial Planning Experience required

£40K - £50K + Benefits | Central London or Kent 
Ref: 3415J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our client, a leading wealth manager, is looking to recruit a Compliance Associate.  Duties will include;
 
• Support the team in executing agreed parts of the business Compliance plan
• Assist in establishing and maintaining a framework to ensure adequate identification, assessment, communication, control and monitoring of compliance and regulatory risks
• Assist in regulatory compliance
• Assisting in the establishment of adequate in-house controls and compliance procedures
• Monitor outside developments in the wider financial services sector to maintain an up to date knowledge and awareness of relevant issues and future trends
• Ad Hoc Projects
 
The ideal candidate should have proven Compliance experience from Asset or Wealth Management or Financial Planning.  This role could be based in their Central London or Kent offices but either way will require some time each week in the other location
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com

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