AJB Executive Search Limited
04 May 2017
04 Jun 2017
Contract Type
Full Time

Our client is an international Wealth Manager that works within the High Net Worth client space with assets in excess of £20 billion under management. They are seeking to employ 2 Compliance Associates to join the growing compliance department

This is an exciting opportunity to work for a fast-growing institutional and high net worth Wealth Management firm based in London.

In addition to growth in the UK market, our client is in process of expanding into Europe

Main purpose of the role

As the Compliance Associate you will assist in ensuring the firm and its employees are in compliance with applicable regulations. Knowledge of EU regulation and/or ability to speak or read a foreign language would be a definite asset. You will be a highly organised individual with strong analytical skills, a creative mind set, sound judgement and business acumen, an aptitude for learning, excellent communication and writing skills, strong work ethic, the ability to work collaboratively as a member of a diverse team. You will interact extensively with legal and compliance personnel in both the UK and the US.

Main Responsibilities:

Assist with the review and revision of policies and procedures to help prevent, detect and correct improper conduct.

Assist with the monitoring of the firm’s sales and client services activities.

Provide 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.

Assist with the compliance communication program for the organisation, including promoting an understanding of new and existing compliance issues and related policies and procedures.

Assist with the compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.

Work 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


A minimum of 2 years Compliance experience within Wealth Management or Private Banking dealing with high net worth clients

Previous FCA experience would also be an advantage

Degree educated with additional industry qualification if possible

Familiarity with asset/wealth management, pension advice, retail and institutional sales, and operational, financial, quality assurance and regulations

Ability to prioritise multiple tasks, work to tight deadlines and effectively manage own time

Attention to detail. Ability to keep detailed records and audit trail

Multilingualism an asset

Excellent written and oral communication skills

If you are looking for a growth-and-expansion-oriented employer with a strong innovative and collaborative culture, we encourage you to apply by submitting your CV along with a cover letter highlighting your relevant experience and qualifications.