Compliance Associate, Wealth

Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We work with clients internationally on every element of regulation. We help firms build projects to respond to significant regulatory change or give them peace of mind they’re doing the right thing.

Our Wealth practice provides regulatory advice and support to firms involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and private banks. The team is growing and is now looking for an experienced Compliance Associate to join them. 

The ideal candidate will play a pivotal role in the practice, contributing to client support, engaging in marketing and business development efforts, conducting technical research, generating technical materials, and actively participating in the overall development and expansion of Bovill.

This position is particularly suited to individuals with a regulatory compliance background seeking a diverse role with a strong emphasis on client delivery.

The areas in which the Associate is expected to assist clients includes but is not limited to:

• Assisting with advice and support on a variety of regulatory compliance matters including product governance, suitability and appropriateness and preparing for regulatory change.
• Involvement in project work, compliance health checks and periodic monitoring for clients
• Drafting and maintaining policies, procedures, and compliance monitoring programmes.
• Developing training materials and assisting in delivering training sessions.
• Assisting with regulatory matters including authorisation applications, variations of permission and changes of control.
• Carrying out compliance health checks and periodic monitoring (including client file reviews)
• Arrange and help prepare for client meetings.
• Assist the team with marketing and business development activities which may include preparing proposals and draft engagement letters, writing articles for publication (website & social media) and preparing marketing materials.
• Responding to ad-hoc and routine regulatory queries.

The role also provides opportunities to attend relevant industry events to expand your professional network and promote the Bovill brand. Additionally, participation in and potential facilitation of Bovill events, roundtable discussions, and training sessions on topical regulatory issues are encouraged.

Successful candidates should have:

• Compliance experience gained at a financial institution, legal practice, consultancy and/or the regulatory background.
• A degree-level education and/or a relevant, diploma level professional qualification (investment or compliance-related), or willing to study towards
• Significant compliance related experience in the wealth management or financial planning sectors with a focus on the conduct issues faced by our clients in those sectors.
• Deep understanding of the FCA’s rules and regulations.
• Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients.
• A passion for problem-solving and a keen interest in learning how to manage relationships with clients and the wider team.

Given the technical nature of the role, exceptional communication skills and high attention to detail are essential. There are also opportunities to widen your experience by assisting other teams and clients on a broader range of regulatory matters.

In return, we offer:

• The opportunity to work in an entrepreneurial, fast-paced, and stimulating environment.
• Support for career development through mentoring, coaching, and relevant training
• The opportunity to work with friendly and collaborative colleagues in a small informal company environment with minimal bureaucracy.
• Annual leave of 26 days plus bank holidays, increasing to 30 days with length of service.
• Pension, private healthcare, and a generous flexible benefits package.

Bovill actively supports flexible working and promotes a hybrid working practice, with a minimum of one-day-per-week in the office, subject to client requirements. We welcome applications from candidates interested in part-time work or flexible start and finish times.

A full job description can be requested by contacting .