Compliance Associate

Job Title: Compliance Associate

Location: London

Company Overview:

Lawson Conner is an award winning investment manager platform and compliance service provider with headquarter in London and offices in Singapore, Jersey and Newcastle.

We provide ongoing support to over 200 institutional clients such as hedge funds, asset management firms, corporate finance advisers and wealth managers.

The application and role summary:

Based in the London office, the Compliance Associate will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance but will also explore business opportunities in the regulated Asian markets.

Full training will be provided via Lawson Conner Academy


1. Perform day to day Compliance Monitoring tasks following a Monitoring Plan

2. Assist in reviewing client systems and controls in respect of conduct risk and business risks

3. Support business development initiatives to grow the firm’s presence in the regulated Asian markets

4. Conduct file reviews and special compliance projects

5. Undertake monitoring reviews and investigation of breaches

6. Review and approve financial promotions

7. Draft compliance monitoring reports


1. 12 months experience within a financial services firm, within a Compliance function

2. Experience in regulated Asian markets

3. Excellent client facing skills and interpersonal communication skills

4. Excellent user of Microsoft Office

5. Experience of working to tight deadlines

6. Strong organisational skills

7. Good understanding of the Asian regulatory landscape

8. Desire to work in an dynamic, fast-growing company environment with blue-chip clients


1. A-level and Bachelors degree preferred (Economics, Law, Business)

2. Strong communication skills, written and verbal

Additional Compliance training provided by Lawson Conner

On Offer

This is an exciting opportunity to join a fast growing organisation working with an award winning team that is highly motivated to serve Lawson Conner’s clients.

The successful candidate will be offered a competitive salary, benefits package and a bonus.

The company operates an HMRC approved employee share option scheme with significant benefits for qualifying members of staff.

Closing Date: 3 October 2017

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