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Compliance Associate, Funds & Asset Management

Closing date
2 Nov 2021

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Contract Type
Full Time
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Our Funds & Asset Management team is looking for a highly motivated, proactive yet disciplined compliance associate to provide high quality, advice to our clients. We specialise in helping clients solve difficult and interesting problems, so we look for people who thrive on intellectual challenge, can roll up their sleeves to delve into issues and get satisfaction from helping clients, conduct a thorough analysis of a problem and translate that into practical advice.

Some of the areas you can expect to assist clients in include:
  • Carrying out project work for clients
  • Drafting and maintaining policies, procedures and compliance monitoring programmes
  • Developing training materials and assisting in delivering training sessions (e.g. to staff, SMFs and Board members)
  • Assisting clients with regulatory processes including authorisation applications, variations of permission and changes of control
  • Carrying out compliance health checks and periodic monitoring (including client file reviews)
  • Regulatory due diligence on acquisition targets
  • Responding to ad-hoc and routine regulatory queries

You will have a minimum of 2 years demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator, ideally with experience in funds, private equity, corporate finance, asset management and/or real estate firms. It is expected that you will have a 2:1 degree and be prepared to work towards or already hold a professional financial services qualification. You also need first class communication skills, a passion for solving interesting problems and have an interest in learning how to manage relationships with clients and the wider team.

Given the technical nature of the work we do, exceptional written and oral communication skills, and high attention-to-detail are paramount.

In return we offer
  • The opportunity to work in an entrepreneurial, fast moving, stimulating environment
  • Strong career development support - mentoring, coaching, relevant training and development - to enable your progression to consultant
  • The opportunity to work closely with, and learn from, our team of regulatory experts who are truly committed to assisting your development
  • A small informal company environment with minimal bureaucracy
  • A competitive salary, performance-related discretionary bonus, and generous flexible benefits package

Please apply by sending your current CV to stating the vacancy title in your email header. For more information and to view the full job description, go to
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