Compliance Associate

Job Description:

Core-Asset Consulting is working with a specialist compliance consultancy to recruit a Compliance Consultant to join their growing team.

This position will support senior consultants in delivering compliance services to a portfolio of asset management clients.

The successful candidate will assist with a broad range of regulatory and compliance activities, helping clients meet their regulatory obligations while maintaining effective compliance frameworks.

The role provides exposure to multiple regulatory areas and the opportunity to build strong client relationships within a dynamic consultancy setting.

• 2-3 years' experience within compliance consultancy, investment operations, or audit within financial services.


• Understanding of the asset management industry, particularly hedge funds or private equity firms.


• Knowledge of trade operations and related processes.


• Familiarity with the key components of a compliance framework and the three lines of defence model.


• Working knowledge of FCA regulatory requirements

Core Responsibilities:

• Supporting the delivery of compliance services across a portfolio of financial services clients.


• Assisting with compliance monitoring activities in line with clients' Compliance Monitoring Programmes (CMPs), including testing and reporting.


• Supporting trade surveillance activities, including monitoring best execution, market abuse and firm communications.


• Assisting with regulatory filings related to market data disclosures and position notifications.


• Supporting clients in meeting compliance obligations by ensuring appropriate processes and controls are followed.


• Maintaining and updating compliance documentation, including policies and procedures.


• Assisting with FCA Senior Manager applications and supporting other FCA applications and regulatory notifications.


• Supporting the completion and submission of FCA RegData and Connect returns.


• Assisting with the implementation and ongoing use of compliance monitoring systems.


• Monitoring regulatory developments and supporting assessments of their impact on clients.

• A highly competitive salary


• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter, and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: (16346)

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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