Senior Compliance Assistant

Senior Compliance Associate – Wealth Management

About the Role
A fast-growing national wealth management firm is seeking an experienced Senior Compliance Associate to support their expanding advisory and investment management operations. This is an exciting opportunity to contribute to a modern, forward-looking organisation, with exposure to senior management, regulatory initiatives, and opportunities for career progression.

Responsibilities
The Senior Compliance Associate will support the Chief Compliance Officer across a broad range of compliance and risk activities, including:

• Managing and submitting FCA Connect applications (adviser registrations, firm-level updates).

• Completing and submitting regulatory returns via RegData.

• Maintaining and reviewing compliance registers and reporting compliance MI.

• Supporting the development and monitoring of consumer protection initiatives, including Consumer Duty.

• Investigating complaints, managing root-cause analysis, and ensuring mitigation actions are implemented.

• Providing day-to-day compliance guidance to advisers and operational teams.

• Reviewing regulatory developments and high-risk alerts (PEPs, sanctions, AML transaction monitoring).

• Supporting compliance training and wider regulatory projects.

About You

• Strong organisational skills, able to manage competing priorities in a high-tempo environment.

• Excellent written and verbal communication, capable of producing clear compliance guidance.

• Understanding of financial planning, investment products, DFM services, or retail wealth management.

• Strong working knowledge of FCA requirements regarding advice standards, record-keeping, governance, and risk management.

• Awareness of AML, financial crime controls, and data protection obligations.

• High attention to detail, analytical mindset, and proactive problem-solving approach.

• Professional, reliable, and committed to high standards of integrity and conduct.

Experience & Qualifications

• Essential: demonstrable experience using FCA Connect and RegData for regulatory submissions and permissions management.

• Experience in risk and compliance within wealth management or financial services.

• Knowledge of FCA Principles, Conduct Rules, and wider regulatory framework.

• Professional qualifications in Financial Planning desirable but not essential.