Stockbroking Compliance Associate

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Compliance Associate Temp - Perm

New Vacancy for Compliance Associate


Compliance Associate Temp - Perm



Head of Compliance


St Swithins Lane, London


Full-time: Monday to Friday


£35K -£45K Depending on Experience

Compliance Associate Main Duties:

Tasks will primarily include:

  • Deputising for the MLRO
  • Administering existing policies and procedures,
  • Advising management and staff on compliance matters,
  • Training and inducting staff, including those in the Compliance Dept
  • Supervising some compliance staff and receiving direct reports
  • Assisting in preparing the management information needed for board and management meetings
  • Manage insiders and restricted lists as well as monitor for potential of any insider dealing or market abuse.
  • Creating new policies and procedures
    Assisting in managing FCA reporting and communication,
  • Monitoring UK and EU regulatory developments and best practices
  • Able to undertake project based requirements alongside daily workload
    Assist in the carrying out transaction monitoring on sales staff as well as complete transaction and file reviews to ensure it meets with regulatory and firm policy.


Skills and Experience

The candidate must have a Bachelor's degree or equivalent, professional background, and at least 2-4 years of relevant experience in a similarly regulated environment, 

Knowledge of key compliance areas, AML knowledge, FCA reporting (including COREP), and general computer literacy are required.
Ability to work independently as well as part of a team and to multitask are required.
Experience with MiFID investment firms, the FCA, derivatives, and/or a UK legal background are pluses.


Receiving direct reports from compliance team members

Report to the Head of Compliance or Board as required


Interviewing this month with immediate start.

PLEASE - Do not call the office, simply apply through this website. No agencies please.

If your skill set matches the above role, please submit your up to date CV below.

  • Please upload your CV here and we will be in touch.