Compliance Associate, Conduct & Control Compliance Associate, Conduct & Control …

in London, United Kingdom
Permanent, Full time
Last application, 23 Sep 21
in London, United Kingdom
Permanent, Full time
Last application, 23 Sep 21
Posted by:
Janine Carter • Recruitment Business Partner
Posted by:
Janine Carter
Recruitment Business Partner
Bovill is an independent, specialist financial services regulatory consultancy with a global offering. The Conduct & Control Practice deliver high quality regulatory advice and support to clients involved in the distribution of investments mainly wealth managers, stockbrokers, financial planners and Private Banks.

Bovill specialise in helping clients solve difficult and interesting problems, so we look for people who thrive on intellectual challenge, can roll up their sleeves to delve into issues and get satisfaction from helping clients, conduct a thorough analysis of a problem and translate that into practical advice. Our people have an entrepreneurial mind-set and 'can-do' attitude with an appetite to keep on learning.

We are now looking for a highly motivated, proactive yet disciplined compliance associate to join our team in providing high quality, specialist advice to our clients.

Some of the areas you can expect to assist clients in include:

  • Carrying out project work for clients
  • Drafting and maintaining policies, procedures and compliance monitoring programmes
  • Developing training materials and assisting in delivering training sessions (e.g. to staff, SMFs and Board members)
  • Assisting clients with regulatory processes including authorisation applications, variations of permission and changes of control
  • Carrying out compliance health checks and periodic monitoring (including client file reviews)
  • Regulatory due diligence on acquisition targets
  • Responding to ad-hoc and routine regulatory queries

Successful candidates will have:

  • At least 2 years demonstrable compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator, with excellent experience and understanding of FCA rules and regulations. 
  • Degree level education, 2:1 or better.
  • Compliance experience in the wealth management or financial planning sectors with a focus on the conduct issues faced by our clients in those sectors.
  • Exceptional written and oral communication skills, and high attention-to-detail are paramount
  • Ability to prioritise multiple projects and engagements while meeting tight deadlines
  • A passion for solving interesting problems and have an interest in learning how to manage relationships with clients and the wider team.

In return we offer

  • The opportunity to work in an entrepreneurial, fast moving, stimulating environment
  • Strong career development support – mentoring, coaching, relevant training and development – to enable your progression to consultant
  • The opportunity to work closely with, and learn from, our team of regulatory experts who are truly committed to assisting your development
  • A small informal company environment with minimal bureaucracy
  • A competitive salary, performance-related discretionary bonus, and generous flexible benefits package

Please apply by sending your current CV to stating the vacancy title in your email header. For more information go to

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