CLARC Recruitment · 1 week ago
Compliance Associate
Kent, WA
Full-time
Hybrid
Entry Level
2+ years expCLARC Recruitment is a growing Wealth Management business seeking a Compliance Associate to join their Compliance function. The role offers broad exposure across core 2nd Line activities and the chance to contribute directly to the firm’s client-outcome-focused culture.
Staffing & Recruiting
No H1B
Hiring Manager
Darren Ruskin
Responsibilities
Minimum 2 years’ experience working within a Compliance function, ideally in Wealth Management or Financial Planning
Experience conducting Thematic or Client Outcome Reviews
Strong knowledge of FCA regulations including Consumer Duty
Ability to interpret regulation and translate it into clear, practical guidance for stakeholders
Strong investigative skills with excellent attention to detail
Confident communicator with strong verbal, written and interpersonal skills
Highly organised, self-motivated and able to manage multiple priorities
Pragmatic approach to problem solving with a strong focus on client outcomes
Qualification
Required
Minimum 2 years' experience working within a Compliance function, ideally in Wealth Management or Financial Planning
Experience conducting Thematic or Client Outcome Reviews
Strong knowledge of FCA regulations including Consumer Duty
Ability to interpret regulation and translate it into clear, practical guidance for stakeholders
Strong investigative skills with excellent attention to detail
Confident communicator with strong verbal, written and interpersonal skills
Highly organised, self-motivated and able to manage multiple priorities
Pragmatic approach to problem solving with a strong focus on client outcomes
Preferred
ICA or similar Compliance qualifications
Level 4 Diploma in Financial Planning
Knowledge or experience of Pensions
Company
CLARC Recruitment
CLARC is a specialist Legal, Audit, Risk & Compliance recruiter with offices in London & New York.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase