FCA Compliance Associate

A leading compliance advisory firm is seeking a Compliance Advisory Associate in London. The role involves advising the business on regulatory matters, supporting the review of financial promotions, and managing regulatory queries. Candidates should have prior experience in compliance within Wealth & Investment Management and possess detailed knowledge of...

Senior Market Integrity Specialist Division: Enforcement & Market Oversight (EMO) Department: Market Oversight Team: Primary Market Oversight (PMO) Salary: National (Edinburgh and Leeds) ranging from £72,100 – £91,000 and London from £79,300 - £100,000 (salary offered will be based on skills and experience) This role is graded as: Technical Specialist,...

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...

**What does the role involve?** You will join one of the high-performing teams in Consumer Finance to help drive improvements for consumers at a time of considerable change in the UK financial sector including helping tackle the impacts of the cost-of-living crisis. Consumer Finance manages the FCA's regulatory oversight of diverse range of firms...

Compliance Advisory Associate – Broadgate As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Key Responsibilities Provide advice, training, and guidance to the business on regulatory matters Work on regulatory horizon scanning...

**Company Secretarial Assistant/ Central Secretariat - Senior Associate** The role-holder will work alongside team members acting as the secretariat for one or more of the FCA's senior executive committees, and/or the FCA or PSR Board, or committees. They will work closely, and build and maintain strong working relationships,with key stakeholders across the...

Division: Enforcement & Market Oversight Department: Market Oversight – Data Intelligence Salary: National (Edinburgh and Leeds) ranging from £59,100 to £80,200 and London from £64,900 to £88,100 (salary offered will be based on skills and experience) This role is graded as: Lead Associate Your recruitment contact is Riley Fox via Riley.fox@fca.org.uk....

**What does the role involve? What are the key responsibilities?** You will join one of the high-performing teams in Consumer Finance to help drive improvements for consumers at a time of considerable change in the UK financial sector including helping tackle the impacts of the rise in the cost-of-living. Consumer Finance manages the FCA's regulatory...

**Leading the Compliance Department to fulfil the client’s requirement as per the Regulatory Guidelines in Specified Time.**: - Develop the AML/KYC policies and procedures for Crypto Assets, Consumer Credit Institutions firms. - Dealing the Regulatory Requirement of Crypto Assets, Consumer Credit Institutions firms Clients. - **Dealing the Application...

Division: Market Oversight Department: Market Oversight, Data & Intelligence Salary: National (Edinburgh and Leeds) ranging from £52,400 to £68,500 and London from £57,700 to £75,000 (salary offered will be based on skills and experience) This role is graded as: Senior Associate - Regulatory Your recruitment contact is Benjamin via...