The Compliance Associate will assist in a broad range of duties to assist with the risk reviews of the Compliance Monitoring Programme, with the aim of resolving or managing any adverse findings arising from the compliance testing. You will be responsible for the trade surveillance programme, resolution, reporting or escalation of alerts as necessary


  • Conduct file reviews and thematic compliance projects
  • Manage internal stakeholders, queries and other compliance related matters
  • Draft compliance reports and ad hoc and periodic review of policy documents
  • Gathering of information for the monthly MI reports, enhancing effectiveness where necessary
  • Provide support and assistance to the Head of Compliance and other internal stakeholders
  • Monitoring UK and EU regulatory developments and best practices which includes attending industry seminars
  • Undertake any other duties as required by the Head of Compliance and other Senior Management as may be required from time to time


  • Excellent oral and written communication skills
  • Solid, demonstrable understanding of the UK regulatory framework
  • Excellent attention to detail
  • A proactive, can-do, customer focused attitude
  • Able to undertake project-based requirements alongside daily workflow


  • Experience or familiarity with transaction reporting
  • Experience or familiarity with trade surveillance software
  • Experience or familiarity with compliance management software

Our commitment

Over and above a competitive salary and benefits package, we offer a challenging and rewarding working environment where every employee is part of the team. You will be encouraged to make a tangible difference towards our overall strategy and be rewarded for your achievements. If you're the kind of person that wants to push your own personal boundaries and explore what is possible, then we'd very much like to hear from you.

Contact [email protected] for the full job specification, including details of rewards and benefits. Applications can also be forwarded to [email protected].