Compliance Advisory Associate
On-site · London, England, United Kingdom
Job Summary
Compliance Advisory Associate role supporting day-to-day compliance advisory services across regulatory and conduct topics. Responsibilities include regulatory change delivery, horizon scanning, suitability, personal account dealing, conflicts of interest, gifts and hospitality, shareholder disclosures, due diligence questionnaires, and development of compliance policies. Provides clear, pragmatic advice to diverse stakeholders, supports training and MI reporting, and ensures FCA Conduct Rules and internal standards are followed. Requires good organisational and interpersonal skills, professional written communication, and the ability to apply FCA regulation in a practical business context. Flexible working with in-office presence 3 days a week in London.
Required Qualifications
- Strong knowledge of FCA Handbook (COBS, COLL, SYSC)
- Experience delivering compliance advisory services
- Ability to manage multiple priorities and meet deadlines
- Clear written and verbal communication
- Ability to work independently and within a team
- Pragmatic balancing of regulatory with commercial considerations
- Experience with regulatory change projects
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