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Compliance Associate

Up to £30000 per annum Pension, Bonus & Other

Wealth Management / Platform - Compliance Associate

My client a South West Wealth Management Platform business are looking to recruit a Compliance Associate to replace a team member they have that is moving back to their home town.

Type: Permanent
Location: South West
Salary: £30,000 - £35,000
Title: Compliance Associate

Offering a wide variety of product wrappers, including ISA's and SIPPs, with access to a broad range of investments including funds from the UK and abroad, Exchange Traded Funds, Structured Products, Cash Deposits and access to equities, Investment Trusts and bonds via a share dealing account. These products are mainly offered to sophisticated investors.

My client is looking for someone with experience in the following:

  • Dealing with complaints, investigating the cause and resolving the issue where possible
  • Reviewing financial promotions for firms marketing material
  • Strong knowledge of the FCA Handbook particularly COBS and SYSC.
  • Someone that can work as both a team and an individual.
  • Great communication skills both written and spoken are a must as you will be interacting with a range of teams throughout the business.
  • The ability to learn is something that this client values and as you progress within your career more responsibilities will be passed on such as training, MI reporting and other ad hoc projects.
  • CASS experience is a bonus for the role but by no means essential.



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