Compliance Associate

  • Permanent, full-time
  • Anywhere
  • Posted 2 months ago


Are you a confident interpersonal individual with excellent communication and persuasion skills? Do you have have previous compliance experience within a financial services role?

A leading wealth management firm based in central Bath is seeking a Compliance Associate to join it’s Risk and Compliance team.

Reporting to the Group Head of RIsk and Compliance, you will:
– Assist with the production of Risk & Compliance’s Governance reporting
– Provide compliance approval of Marketing material including presentations, websites, articles and document templates
– Assist with Risk and Compliance monitoring in accordance with the agreed plan
– Ensure that the business gathers sufficient records to meet compliance obligations for regulatory reporting
– Support the training and awareness that the firm’s policies and regulatory requirements 
– Provide a timely and clear complaint response to business queries
– Assist the Risk and Compliance team achieve its broader team objectives

Your skills and qualifications:
– You will have one year of compliance experience in a financial services role
– You will have the ability to work to deadlines
– You will have strong IT skills (especially Excel, Word, Email)
– You will have two years’ experience in a financial services role
– You will have excellent communication skills
– You will be able to successfully work in a team

If you would like to apply, please email or call 01179706505 to find out more.

If you know someone else who would be appropriate for the role, please share this with them – if you refer someone who is successful we will reward you with vouchers of your choice.

Job Overview
Job Overview