Risk & Compliance Associate

Compliance Associate
London | Up to £75,000 c.20% discretionary bonus benefits
 
A leading international financial services firm is seeking a Compliance Associate to join its central Risk & Compliance function. This newly created position is designed as a junior advisory role, providing hands‑on regulatory support to a busy, transaction‑driven business, with a particular focus on securitisations, MIFID and FCA‑related activity. The role is London‑based, serving the wider group and supporting regulatory approvals, permissions and cross‑border arrangements.
 
You will operate as a trusted compliance adviser to the business, bringing strong technical knowledge and practical regulatory experience, and you will be comfortable working at pace in a high‑pressure, deal‑driven environment. This is a career‑building move for someone stepping out of Big Four or similar advisory firms into industry, offering genuine progression in an “up or out” culture rather than a flat, administrative compliance role.
 
Key responsibilities

• Provide day‑to‑day compliance advisory support to the business, particularly around securitisation products and related regulatory implications.
• Support regulatory approvals and permissions across UK and European jurisdictions (e.g. FCA, Central Bank of Ireland), including new services, cross‑border arrangements and appointed representative or tied‑agent structures.
• Review and advise on client engagement letters and mandates, ensuring proposed services fall within the firm’s regulatory permissions and are aligned to MIFID (UK and EU) and FCA requirements.
• Contribute to the design, development and ongoing enhancement of compliance frameworks, policies and procedures across the group.
• Assist in the set‑up and strengthening of compliance departments and functions within the group’s business lines, leveraging prior consultancy experience where relevant.
• Act as a point of contact for regulatory queries from the business, helping interpret and apply regulatory changes (including MIFID‑related developments) to the firm’s activities.
• Support interactions with regulators, helping prepare submissions, responses and supporting documentation for authorisations, approvals and other supervisory engagements.
• Help educate and challenge the business on regulatory risk, ensuring commercial objectives are achieved in a compliant and well‑controlled manner.

 
Candidate profile

• Pure compliance experience (not split across other functions), ideally gained in a Big Four or leading advisory/legal firm supporting financial services clients.
• Strong product knowledge of securitisations, with experience advising on regulatory aspects of securitisation transactions.
• Demonstrable knowledge of MIFID regulation (UK and European) and FCA rules, and experience applying these in practice for investment firm clients.
• Background in supporting firms with regulatory approvals, cross‑border permissions and the set‑up of compliance functions, including direct interaction with regulators such as the FCA and Central Bank of Ireland.
• Experience reviewing and advising on engagement letters and client mandates from a regulatory permissions perspective.
• Likely to be at Manager/VP level in consulting or advisory, now seeking a first move into industry in a visible and growing function.

 
Team, culture and progression
You will join a central Risk & Compliance team that is being strengthened as the firm returns to growth following a more challenging 2023–2024 period, with expectations of improved performance between 2025–2027. The role is part of a broader build‑out of functional capability rather than a static, back‑office position, and offers clear scope for progression as the business and team expand. The culture is high‑performance and fast‑paced, aligned to transaction‑driven advisory work with demanding reporting and execution deadlines, and will suit someone who wants to be close to the business and deepen their regulatory expertise.
 
Offer & package

• Salary: Up to £75,000 base
• Bonus: Discretionary, with an expectation of c.20% in good performance years, subject to both individual and company performance.
• Pension: 4% employer contribution, with 5% employee contribution (total 9%).
• Equity/long‑term: Participation in an EMI‑style scheme plus standard benefits.

 
Working model

• London‑based role in an office‑first culture, with five days per week on site (with some flexibility for personal circumstances by agreement)