Compliance Associate – Financial sector

First Interview £23,000 - £28,000 dep on experience + benefits Accountancy / Financial, Specialist / Other Bath central Full Time

Compliance Associate

A highly regarded investment management company in Bath have a great new opportunity to join the risk & compliance team.

Job Summary/Purpose

As the Compliance Associate, you will be responsible for helping the Compliance Manager maintain a sound and robust compliance framework.

Key responsibilities are primarily the organising, investigation and resolution of incoming complaints though the company management system.

Duties/Responsibilities include:

  • Corresponding with the Financial Ombudsmen in respect of complaints.
  • Maintaining sufficient complaint records.
  • Compliance mailbox queries.
  • Providing a timely and clear compliant response to business queries.
  • Administration of systems used by the Risk & Compliance team.
  • Assisting the Risk & Compliance team governance reporting.
  • Ensure that the Treating Customers Fairly (TCF) principles are adhered to.
  • Continually focus on delivery of excellent customer service
  • Assisting the Risk & Compliance team achieve its broader team objectives.

Skills, Qualifications and Experience


  • Background in complaint handling, issue resolution or other similar investigative role, dealing with customers.
  • Good attention to detail.
  • Excellent writing skills, especially the ability to communicate potentially complex financial matters in a way that customers can understand.
  • Clear understanding of what is fair for customers.
  • Excellent interpersonal and communication skills.
  • Working knowledge of Microsoft office.
  • Curiosity to understand a process or issue.
  • A proactive and innovative approach to problem solving, applying logic to decision-making.
  • At least three years’ financial services experience.


  • Investment Operations Certificate (IOC) or equivalent industry recognised qualification, or commitment to work towards obtaining a relevant qualification.
  • Understanding of investment platform providers, investments and investment products.
  • Proven track record in concern for and adherence to regulatory requirements.

This a great chance to join this company that offer a friendly working environment and great career prospects.

Salary Guide: £23,000 – £28,000 + excellent benefits package to include: Pension, Healthcare, generous holiday entitlement etc.

Based with a few minutes walk from the rail station.

It is company policy, as a matter of courtesy to respond to all applications within three working days, however because of the volume of applications we are currently receiving we are unable to respond to individual candidates. If we have not contacted you within three working days your application has been unsuccessful and your details have not been retained. Please apply for any other position that you may see in the future.

Please note: Map location is not accurate and is only provided as a guide to the job location.
Reference: JM314107
Contact: Katherine

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