Compliance Associate

About the role

We are seeking an organised, detail‑focused compliance professional to join a respected financial services organisation. In this hybrid role you will support regulatory compliance across the business, helping to identify, monitor and mitigate risk while maintaining robust processes and controls.

Key responsibilities

• Maintain internal compliance registers covering insiders, breaches, gifts, personal trades, conflicts of interest and training.
• Develop and report on monitoring activities for client trades, personal accounts, communications and social media.
• Support implementation and use of online compliance monitoring systems and liaise with system providers.
• Conduct ad‑hoc compliance reviews, assurance activities and risk‑based monitoring.
• Monitor market abuse, insider dealing, best execution and vulnerable client areas, escalating concerns as needed.
• Produce weekly, monthly and annual management information and clear compliance reports.
• Process wall‑crossing notifications and escalate suspicious transaction reports in line with regulations.
• Create annual compliance training plans, manage online learning and deliver in‑person training.
• Assist with onboarding new employees and promote a culture of regulatory awareness.
• Write, review and improve compliance procedures, policies and documentation.
• Provide cover for SmartSearch alerts, AML/AMC checks and other compliance activities.

Required profile

• Organised and detail‑oriented with a strong interest in compliance.
• Experience across a broad range of compliance activities, including monitoring, reporting, training and policy development.
• Ability to work collaboratively within a compliance team and support wider business units.
• Strong analytical skills and the capacity to produce clear management information.

Required skills

What we offer

• Competitive salary £35,000‑£40,000 per annum.
• Hybrid working model (4 days onsite in London).
• Permanent contract with a supportive, collaborative environment.
• Opportunities to broaden compliance expertise across diverse regulatory activities.