Unit: Risk & Compliance
Location: London
An exciting opportunity to join the UK Risk & Compliance team in a generalist role supporting Advisory and Monitoring activities.
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Risk & Compliance Associate

Stonehage Fleming is one of the world’s leading independently owned family offices and the largest in Europe, Middle East and Africa (EMEA)* as measured by its breadth of services, geographic reach and by assets under management, advice and administration. *Source: Campden FB, April 2018

Stonehage Fleming provides a range of services from long-term strategic planning and investments to day-to-day advice and administration to over 250 families of substantial wealth. The Group employs over 500 people in 11 offices across 8 geographies.


Reporting to the Head of UK Risk & Compliance, the Associate will hold a generalist function role within the team. They will support the team on Advisory and Monitoring activities, as well as having ownership of routine and essential tasks. This role will suit a candidate who is new to the industry and is looking or a broad compliance role.


  • Reviewing and approving financial promotions and communications to ensure that they meet FCA standards. Overseeing the approval process maintenance of insider lists
  • Conducting daily tasks,including PAD requests, and maintenance of the stop and watch lists,
  • Investigating breaches and incidents and identifying any root causes
  • Reviewing and signing offon-boarding for new clients or for the restructuring of entities
  • Liaising with the businessto ensure outstanding recommendations are actioned
  • Submitting FCA regulatory returns
  • Submitting senior manager approved person applications to the FCA
  • Dealing with queries from the business on various regulatory matters.
  • Monitoring payment flows in line with the AML policy


  • Assisting with the delivery of the compliance-monitoring plan, including scoping work, undertaking reviews and reporting on findings
  • Assisting in the delivery of training to the business
  • Providing guidance on cross-border marketing activities
  • Working on regulatory projects


  • Previous compliance experience working in an investment management or wealth management company
  • Good working knowledge of FCA regulations
  • Some experience in the core tasks highlighted above


  • Strong interpersonal skills with the ability to influence and interact at all levels and who can demonstrate credibility in front of the business
  • A team player with a positive, flexible and proactive attitude
  • Questioning, probing and challenging mind-set in the interests of enhancing the control environment
  • Strong communicator – both verbal and written
  • Strong attention to detail
  • Hands on attitude
  • Problem solver
  • Works well under pressure and to tight deadlines
  • Honesty and integrity