Senior Compliance Assistant

Join to apply for the Senior Compliance Assistant role at Eden Rose
.

A fast‑growing national wealth management firm is seeking an experienced Senior Compliance Associate to support their expanding advisory and investment management operations. This is an exciting opportunity to contribute to a modern, forward‑looking organisation, with exposure to senior management, regulatory initiatives, and opportunities for career progression.

• Managing and submitting FCA Connect applications (adviser registrations, firm‑level updates).
• Completing and submitting regulatory returns via Reg Data.
• Maintaining and reviewing compliance registers and reporting compliance MI.
• Supporting the development and monitoring of consumer protection initiatives, including Consumer Duty.
• Investigating complaints, managing root‑cause analysis, and ensuring mitigation actions are implemented.
• Providing day‑to‑day compliance guidance to advisers and operational teams.
• Reviewing regulatory developments and high‑risk alerts (PEPs, sanctions, AML transaction monitoring).
• Supporting compliance training and wider regulatory projects.

• Strong organisational skills, able to manage competing priorities in a high‑tempo environment.
• Excellent written and verbal communication, capable of producing clear compliance guidance.
• Understanding of financial planning, investment products, DFM services, or retail wealth management.
• Strong working knowledge of FCA requirements regarding advice standards, record‑keeping, governance, & risk management.
• Awareness of AML, financial crime controls, and data protection obligations.
• High attention to detail, analytical mindset, and proactive problem‑solving approach.
• Professional, reliable, and committed to high standards of integrity and conduct.

• Essential: demonstrable experience using FCA Connect and Reg Data for regulatory submissions and permissions management.
• Experience in risk and compliance within wealth management or financial services.
• Knowledge of FCA Principles, Conduct Rules, and wider regulatory framework.
• Professional qualifications in Financial Planning desirable but not essential.