CLARC Recruitment
Compliance Associate – Wealth Management
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
A wealth management business is hiring a Compliance Associate to join its Compliance team. This is a generalist role suited to someone comfortable working across a broad range of compliance duties.
The ideal candidate will have around 12 months’ compliance experience gained within a similar financial services business.
You’ll join a collaborative, friendly team that offers strong support and genuine opportunities to develop your compliance knowledge further.
Job Requirements:
- Maintain internal registers (Insiders, Breaches & Incidents, Gifts & Entertainment, Personal Trades, Conflicts of Interest, Training)
- Design and run monitoring processes covering client/personal trades, transactions, communications and social media
- Manage online monitoring systems and liaise with providers on market abuse, insider dealing, best execution and vulnerable client issues
- Carry out ad hoc compliance reviews and assurance checks
- Develop and deliver training plans, including online and in-person sessions
- Handle internal and interdepartmental compliance requests
- Review and write compliance policies and procedures
- Process wall-crossing notifications and escalate STORs
- Produce regular MI reports and compliance data
- Support the wider team.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
Unless otherwise stated, candidates must have the right to work in the UK.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
The CLARC Guarantee – we will never send your CV to a client without your prior express permission, so your details will always remain confidential. Please note that, due to the volume of applications we receive, we are unable to respond to every applicant individually. If your application is unsuccessful on this occasion, your details will remain on file and be considered for other suitable opportunities.
To apply, please submit your application through this job post or email your CV to recruit@clarcrecruitment.com.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location