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Compliance Associate, Wealth & Private Banking

Closing date
23 Jul 2022

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Contract Type
Full Time
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The Practice provides regulatory advice and support to firms involved in the distribution of investments - mainly wealth managers/stockbrokers, financial planners and private banks.

The purpose of this role is to deliver client work, participate in marketing and business development, assist with technical research and the production of technical materials, and participate more generally in the development and growth of Bovill.

Responsibilities will include:
  • Carrying out project work, compliance health checks and periodic monitoring for clients
  • Drafting and maintaining policies, procedures and compliance monitoring programmes
  • Developing training materials and assisting in delivering training sessions
  • Assisting with regulatory matters including authorisation applications and variations of permission
  • Carrying out compliance health checks and periodic monitoring (including client file reviews)
  • Arrange and help prepare for client meetings
  • Participate in Bovill's events, client briefings and round table events
  • Assist the team with marketing and business development activities which may include; preparing proposals and draft engagement letters, writing articles for publication (website & social media) and preparing marketing material
  • Responding to ad-hoc and routine regulatory queries

When the opportunity arises, you may also be required to assist other teams and clients on a wider range of regulatory matters, so you be keen will develop your knowledge across the spectrum and be willing to collaborate on work outside of your main areas of expertise.

Successful candidates will have:
  • At least 2 years demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator
  • Educated to degree level, 2:1 or better
  • Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards
  • Significant compliance related experience in the wealth management or financial planning sectors with a focus on the conduct issues faced by our clients in those sectors
  • Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
  • Deep understanding of the FCA's rules and expectations
  • Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
  • Experience managing client relationships
  • Ability to prioritise multiple projects and engagements while meeting tight deadlines
  • A passion for solving interesting problems

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

Bovill actively supports flexible working and are introducing a hybrid working practice. We welcome applications from candidates who wish to work part-time, flexible start & finish or compressed hours.
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