Compliance Associate

Walker Crips Group; City of London; On-site; GBP 25,000 - 35,000; Part time

Job summary

A financial services company in London seeks a Compliance Officer to support the Head of Group Compliance. The position involves advising on regulatory matters, promoting compliance awareness, and assisting in policy management. Ideal for entry-level candidates with strong attention to detail and stakeholder engagement skills. Apply now to contribute to a culture of compliance and customer focus.

Qualifications

• Prior experience working in a Compliance role at a FCA-regulated financial institution.
• Strong attention to detail.
• Proven ability to multitask and prioritise effectively to meet deadlines.

Responsibilities

• Provide advice, training, and guidance on regulatory matters.
• Promote awareness of regulatory principles.
• Assist in determining impact of regulatory change.

Skills

Prior experience in a Compliance role

Strong attention to detail

Ability to multitask and prioritize

Willingness to learn

Effective engagement with stakeholders

Ability to work independently and in a team

Good interpersonal skills

Knowledge of the FCA Handbook

Experience with FCA submissions

Involvement in reviewing Financial Promotions

Job description

As the parent company to four FCA‑authorised firms, Walker Crips Group Plc is committed to upholding the Consumer Duty principles. The purpose of this role is to work as part of the Compliance team to support the Head of Group Compliance in ensuring positive outcomes for our customers by assisting with all aspects of ongoing compliance.

This commitment is underpinned by the three key cross‑cutting rules:

• Acting in good faith.
• Avoiding foreseeable harm.
• Enabling and supporting retail customers in achieving their financial objectives.

Responsibilities

• Regulatory Guidance: Provide advice, training, and guidance to the business on regulatory matters.
• Implementation & Awareness: Promote awareness of regulatory principles and requirements, and provide support for their practical implementation.
• Regulatory Change: Assist in determining the relevance and impact of regulatory change, and provide practical support on the implementation of any necessary changes.
• Policy Management: Assist the Head of Group Compliance with the application, maintenance, and evaluation of compliance policies and procedures.
• FCA Submissions: Assist with formal FCA submissions and applications.
• Controls & Processes: Help review and evaluate the efficiency of key controls and identify ways for continuous improvement.
• Compliance Framework: Support the team in the development and execution of the Compliance framework and the development of Management Information (MI).
• Developing training content and conducting training needs assessments (TNA).
• Operational Support: Support the review of Financial Promotions, Personal Account Dealing requests, Conflicts of Interest disclosures, Placings and IPOs and information requests.
• Overseeing certain SMCR processes.
• Manage ad hoc regulatory queries from the business.

Skills

• Prior experience working in a Compliance role at a FCA‑regulated financial institution.
• Strong attention to detail.
• Proven ability to multitask and prioritise effectively to meet deadlines.
• Willingness to learn.
• Effective engagement with stakeholders across the business.
• Ability to work independently as well as in a team environment.
• Good interpersonal skills and team spirit.
• Practical knowledge of the FCA Handbook (COBS, SYSC, COND, SM&CR, Consumer Duty) and how these rules apply in practice.
• Experience with FCA submissions and applications.
• Prior involvement in reviewing Financial Promotions.
• Experience contributing to the development of Compliance frameworks.

Seniority Level

• Entry level

Employment Type

• Contract

Job Function

• Finance

Location: London, England, United Kingdom

Apply now to join the Walker Crips Group Plc team and contribute to a culture of compliance and customer focus.