Compliance Assistant - Investment Manager

The Compliance Assistant will play a vital role in acting as an ambassador for and supporting the broader Compliance Department. This position sits at a group level and requires strong attention to detail and the ability to ensure adherence to changing regulatory standards.

Client Details

This opportunity is with an award-winning, medium-sized investment manager based in Central London. The company is focused on delivering long-term and sustainable investment services across several internal divisions.

Description

• Compliance Advocacy & Coordination: Act as a key representative of the Compliance Department, promoting its value and coordinating team activities, including policy updates.
• Monitoring & Reporting: Support the Compliance Monitoring Programme and maintain key logs/registers (e.g. breaches, complaints, FCA interactions).
• System & Data Management: Assist with maintaining the Central Compliance System (MCO), regulatory submissions, and dashboards (monthly monitoring and Consumer Duty).
• Financial Crime Oversight: Investigate onboarding results, monitor screening alerts (PEPs, sanctions), and support ongoing CDD for existing relationships.
• Training & MI: Manage eLearning modules, analyse training data, and contribute to MI reporting and staff compliance engagement.

Profile

The successful candidate should have:

• Education: Degree educated with a strong interest in investment management and a desire to grow as a generalist compliance professional.
• Compliance & Financial Crime Experience: 2-4 years experience in FCA-regulated environments with hands-on experience in compliance frameworks, monitoring, and regulatory processes.
• Technical & Analytical Skills: Proficient in handling large data sets with preferred skills in Excel and PowerBI; familiar with verification systems and compliance platforms.
• Core Competencies: Detail-oriented, well-organised, with strong time management and communication skills; proactive and accountable in approach.

Job Offer

• Competitive salary ranging from £45,000 to £55,000.
• Comprehensive pension scheme + bonus + qualification support (ICA & CISI)
• Opportunity to be part of a professional and growing organisation in London.
• A permanent position with room for professional growth.

If you are ready to make an impact in the financial services industry and contribute to a respected organisation in London, we encourage you to apply today.