Senior Compliance Associate

Senior Compliance Associate

Job Title: Senior Compliance Associate
Contract Type: Permanent
Location: London
Salary: £40000 - £50000 per annum, Benefits: package
Start Date: asap
Reference: BWD-MC-CA-L
Contact Name: Monika Carlton
Contact Email:
Job Published: April 28, 2017 11:00

Job Description

Compliance can be one of the most interesting and exciting careers.

I have a client that is offering an exceptional opportunity for the Senior Compliance Associate who wishes to use their practical and professional skills fully to work with a leading international investment firm with the UK Head office in London.

This is an excellent opportunity to work for a fast-growing firm in the UK but also the firm that is in process of expanding into eight other European countries. 

Our client is not looking for another ‘box ticker' but for an individual that will take a leading role in supporting the Business remaining compliant with regulatory requirements and corporate compliance policies. 

Responsibilities to include:
  • Revision of policies and procedures to help prevent, detect and correct improper conduct.
  • Reviewing and providing reports on a regular basis, and as directed or requested, to keep compliance management informed of the operation and progress of compliance efforts.
  • Ensure proper reporting of violations or potential violations to compliance management as appropriate and/or required. 
  • Assisting with the monitoring of the firm’s sales and client services activities. 
  • Assisting with the compliance communication program for the organisation, including promoting an understanding of new and existing compliance issues and related policies and procedures. 
  • Assisting with the compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
  • Working with members of the overall UK and US legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation.
If you are a Compliance Professional with experience within Wealth Management, Investment or Asset Management, and you are willing to continuously learn, develop and broaden your knowledge and want to work with expanding international employer then please give me a call for a confidential chat.

What have you got to lose!