Compliance Associate

2 weeks ago

Greater London, United Kingdom Walker Crips Full time

Compliance Associate The Compliance Associate role at Walker Crips Group Plc supports the Head of Group Compliance in ensuring positive outcomes for customers by assisting with all aspects of ongoing compliance. As the parent company to four FCA-authorised firms, Walker Crips Group Plc is committed to upholding the Consumer Duty principles. The role focuses on maintaining compliance with FCA rules and steering the organization toward good practice. Key cross‑cutting rules: Acting in good faith. Avoiding foreseeable harm. Enabling and supporting retail customers in achieving their financial objectives. Responsibilities Provide regulatory guidance, training, and advice. Promote awareness of regulatory principles and support practical implementation. Assist in assessing the relevance and impact of regulatory change and support implementation. Help manage compliance policies and procedures. Assist with FCA submissions and applications. Review and evaluate key controls for continuous improvement. Support the development and execution of the compliance framework and MI. Develop training content and conduct training needs assessments. Support review of financial promotions, personal account dealing requests, conflicts of interest disclosures, placings, IPOs and information requests. Oversee certain SMCR processes. Manage ad‑hoc regulatory queries from the business. Skills & Qualifications Prior experience in a compliance role at a FCA‑regulated institution. Strong attention to detail. Proven ability to multitask and prioritize to meet deadlines. Willingness to learn. Effective engagement with stakeholders across the business. Ability to work independently and as part of a team. Good interpersonal skills and team spirit. Practical knowledge of the FCA Handbook (COBS, SYSC, COND, SM&CR, Consumer Duty). Experience with FCA submissions and applications. Prior involvement in reviewing financial promotions. Experience contributing to compliance frameworks. Seniority level Entry level Employment type Contract Job function Finance Location: London, England, United Kingdom Salary: £30,000 – £35,000 #J-18808-Ljbffr

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