Compliance Associate

Job Description
Robert Half is working with a leading Wealth Management Firm based in London working with high-net-worth individuals, families, and institutions to preserve and grow their wealth for generations.
We are looking for a Compliance Associate to join the team!
If you are a driven, client-focused professional seeking to make a meaningful impact in the world of wealth management, we want to hear from you!
Role:
Maintain and implement a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
Assist with the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.
Assist the Money Laundering Reporting Officer (MLRO), ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
Assist with the conduct of risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
Provide wider team with advice and guidance on compliance-related matters.
Collaborate with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
Establish and maintain effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders.
Ensure that client files are maintained in accordance with Company policies, take compliance ownership of the accounts and lead/run file reviews for all accounts alongside the Company’s compliance department;
Review sales and marketing documentation to ensure it is line with financial promotion rules;
Assist with the review the onboarding of all new clients;
To work as part of a team to deliver the highest level of service;
Take ownership and show initiative for your own development;
Comply with all lawful decisions and directions of the Management Team and the Board; and
Ensure that you conduct your affairs with fidelity and with the highest standards of ethics and integrity.
Requirements:
Minimum 5 years experience in a senior compliance role within an FCA-regulated environment, must have a wealth management or investment management sector background.
Qualifications degree (Finance, investment something similar)
Thorough understanding of AML, KYC, and financial regulatory frameworks (MIFID, UCITS, AIFMD)
Good product knowledge Equities, FI & FX
Demonstrated leadership skills with the ability to steer and develop a high-performing team.
Excellent analytical, organisational, and communication skills.
Proficiency in compliance software and technology platforms.
Competitive compensation package
Full time 8am - 18pm Monday to Friday (4 days in the office and 1 at home)