Compliance Assistant

THE COMPANY:

Our client is boutique, independent investment firm, offering services including trading, pension fund management and institutional dealing.

THE RESPONSIBILITIES:

• Assist in the implementation and monitoring of the firm’s compliance framework and procedures.
• Support the maintenance of internal compliance registers, including breaches, gifts & hospitality, and conflicts of interest.
• Conduct routine monitoring activities in line with the firm’s compliance monitoring plan.
• Assist with the preparation and submission of regulatory returns to the FCA via RegData.
• Help draft and update compliance policies, procedures, and manuals.
• Monitor regulatory developments and communicate relevant changes to stakeholders.
• Maintain accurate records of staff training and support the delivery of compliance training across the firm.
• Support onboarding processes, including KYC/AML checks on clients.
• Assist in internal and external audits and regulatory inspections as required.
• Provide general administrative support to the Compliance team and Board.

EXPERIENCE REQUIRED:

• Previous experience in a compliance, legal, or regulatory role (ideally within an FCA-regulated firm).
• Basic understanding of FCA regulations and the UK regulatory environment.
• Strong attention to detail and organisational skills.
• Proficient in Microsoft Office (Word, Excel, Outlook).
• Excellent written and verbal communication skills.
• Ability to handle confidential and sensitive information with discretion.

For further information please contact Duncan Jeffery