Compliance Associate - #1704573
Heat Recruitment
Date: 1 week ago
City: Birmingham
Contract type: Full time
Work schedule: Full day
Compliance Associate – Wealth Management
Are you looking to build a long-term career in compliance within a professional wealth management environment? We are currently working with a well-regarded and growing financial planning firm who are seeking a detail-oriented and proactive Compliance Associate to join their team.
This is a fantastic opportunity for someone with experience in a support or administration role within the wealth management or financial planning sector who is looking to step into compliance. Full training and ongoing guidance will be provided, and there is clear progression available for someone seeking to develop towards a Compliance Officer role.
The Role
Working closely with the Head of Compliance, you’ll support the delivery of the firm’s regulatory obligations, ensuring policies, procedures, and standards are met across all departments. You’ll help manage internal controls, regulatory reporting, file reviews, training records, complaints procedures, and ongoing monitoring activity, all with the aim of ensuring a robust compliance framework.
You’ll Also Contribute To Key Areas Such As
Are you looking to build a long-term career in compliance within a professional wealth management environment? We are currently working with a well-regarded and growing financial planning firm who are seeking a detail-oriented and proactive Compliance Associate to join their team.
This is a fantastic opportunity for someone with experience in a support or administration role within the wealth management or financial planning sector who is looking to step into compliance. Full training and ongoing guidance will be provided, and there is clear progression available for someone seeking to develop towards a Compliance Officer role.
The Role
Working closely with the Head of Compliance, you’ll support the delivery of the firm’s regulatory obligations, ensuring policies, procedures, and standards are met across all departments. You’ll help manage internal controls, regulatory reporting, file reviews, training records, complaints procedures, and ongoing monitoring activity, all with the aim of ensuring a robust compliance framework.
You’ll Also Contribute To Key Areas Such As
- Assisting with FCA reporting and compliance monitoring
- Supporting the oversight of appointed representatives (if applicable)
- Helping coordinate training & competence activities
- Maintaining accurate records, registers, and management information
- Liaising with external stakeholders, including third-party compliance providers and the FCA
- Keeping up to date with regulatory changes and contributing to process improvement
- Experience in a wealth management or financial planning environment – ideally in admin, support, or operational roles
- Strong organisational skills and attention to detail
- A self-starter with a willingness to learn and take ownership
- Ideally working towards a compliance or financial planning qualification (not essential)
- Excellent written and verbal communication
- A desire to develop a career in compliance long term
- Comprehensive training and mentoring
- Supportive and collaborative team environment
- Exposure to a wide range of compliance duties
- Career progression opportunities in a growing business
- Competitive salary and benefits package
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