Compliance Associate

Compliance Associate Job Description Template

Our company is looking for a Compliance Associate to join our team.


  • Perform day to day Compliance Monitoring tasks following a Monitoring Plan;
  • Reviewing clients’ terms and conditions of business;
  • Undertake monitoring reviews and investigation of breaches;
  • Review and approve financial promotions;
  • Conduct file reviews and special compliance projects;
  • Assist in reviewing client systems and controls in respect of conduct risk and business risks;
  • Dealing with everyday queries from fee earners/Business Services staff on all core compliance topics;
  • Draft compliance monitoring reports;
  • Managing junior Compliance Lawyers, taking responsibility for their development and progression;
  • Assisting in devising and maintaining the firm’s policies and procedures, and to develop its standard forms, on all core compliance issues.


  • A-level and Bachelors degree preferred (Economics, Law, Business);
  • Strong written and verbal communication skills;
  • Excellent client facing skills and interpersonal communication skills;
  • Excellent communication skills both written & spoken;
  • Strong organisational skills;
  • Experience of working to tight deadlines;
  • Desire to work in an dynamic, fast-growing company environment with bluechip clients;
  • 3 years experience within an FCA regulated services firm, within a Compliance function;
  • Excellent user of Microsoft Office.