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Compliance Associate - City, Newcastle Upon Tyne, United Kingdom, NE1


My client is an award winning investment manager platform and compliance service provider and they are looking for a Compliance Associate to join their team.

Based in Newcastle, the Compliance Associate will assist the Compliance Team in delivering a range of compliance solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active.

Responsibilities: -

  • Support the Compliance Associates and Compliance Managers to ensure that the firm and its clients are in compliance with FCA regulatory and compliance rules.
  • Support and manage the on-boarding process (KYC/AML checks/credit checks, etc) of new FCA regulated corporate teams and individuals within the financial services industry.
  • Support the compliance team on a variety of client facing compliance projects.
  • Conduct research and prepare documentation in response to client inquiries.
  • Undertake file checking and file reviews.
  • Participate in internal compliance training programs as part of continuing learning and development program.

Requirements: -

  • Prior experience within an FCA regulated services firm, within a Compliance function.
  • Some understanding of Financial Conduct Authority's regulatory frameworks.
  • Desire to expand formal and informal knowledge about FCA regulation.
  • Advanced Microsoft Office skills: Word, Excel and PowerPoint.
  • Attention to detail - must be able to perform all work consistently to a high level of quality.
  • Time Management - must be able to manage own time on multiple ongoing projects effectively.
  • Strong information gathering, analytical and problem solving skills.
  • Highly motivated and organized self-starter with excellent editing and writing skills.
  • Effective client skills (verbal written and interpersonal communication skills).
  • Desire to work in a dynamic work environment.
  • A self-starter and team player with the ability to work on own initiative or as part of a team.


A-level and Bachelors degree preferred (Economics, Law, Business)
Strong communication skills, written and verbal.