Compliance Associate


**Compliance Associate**


Our client is a busy business management office in York. They are a financial services organisation with a diverse client database, looking to take on a Compliance Associate to assist the Compliance manager with regulatory processes and procedures


The role will be working within a busy business office in York and will involve the following duties –

  • To provide a business friendly and approachable compliance service to the business teams whilst maintaining the necessary independence from these same teams
  • Work with the business to undertake the programme of compliance monitoring activities and following up on agreed actions
  • Review and monitoring of client files to asses client ‘Suitability’
  • Assist the Compliance Manager with the identification, resolution and recording of any errors and regulatory breaches
  • Assist the Compliance Manager with the resolution and recording of client complaints
  • Assist the Compliance Manager with preparing regulatory MI, drafting reports and notifications
  • Maintain and manage all information, data and records within Compliance to ensure information is readily accessible, searchable and up-to-date
  • Review any financial promotions for compliance considerations and to ensure all material is ‘clear, fair and not misleading’ prior to any publication
  • Assist the Compliance Manager with the application, maintenance and evaluation of the compliance policies and procedures within the York office


Up to £25K which will be on pro rata basis

Part time – 16 hours per week – very flexible!!

We are looking for someone with experience in Compliance-related work and 1-2 years of experience in a financial services role, or a similar role. We are also looking for someone who is highly motivated and results oriented.

If you are able to demonstrate the above, have the correct skills and would like to apply please send your CV to

Due to the volume of applications we receive if you have not heard from the managing consultant within 1 week please assume you have not been short listed.

Charterhouse Recruitment is committed to a policy of equal opportunities in relation to job applications.  A copy of our Diversity Policy is available upon request.

Charterhouse Recruitment Ltd is acting in the capacity of an Employment Agency for permanent appointments and an Employment Business for temporary assignments


Hours: Part Time

Sector: Accountancy & Finance

Pin It on Pinterest