Compliance Associate (UK), Appointed Representatives

Your Role:

We are looking for a full-time Compliance Associate with direct experience in wealth management, brokerage, trading, and audit to deliver compliance oversight within an AR umbrella. The position offers an opportunity to develop your career in a growing business and to work alongside finance and technology experts.

Things You Get To Do:

• Responsibility for overseeing and approving the onboarding of ARs
• Responsibility for overseeing the ongoing monitoring of ARs (including final sign‑off for their Financial Promotions)
• Review and approval of financial promotions for s21 clients, including high‑risk products
• Assisting with FCA filings

Who You Are (Must‑Haves):

• Strong knowledge of the FCA Handbook and Rules
• Knowledge of Anti‑Money Laundering regulations and operations
• Experience in producing, executing, or overseeing a Compliance Monitoring Plan (CMP)
• Compliance oversight experience
• Strong attention to detail
• Comfortable working in a digital environment
• Comfortable working in a remotely based company
• The ability to adapt quickly to changing situations
• Ability to manage workloads well without supervision
• Ability to work well in a diverse and collaborative team environment

Who You Might Be (Nice‑to‑Haves):

• Experience in the Appointed Representative landscape, including firm onboarding and AR monitoring
• Experience as a Compliance SME in AR meetings and on AR‑related projects
• Experience in risk management
• Experience formulating responses to complex regulatory questions based on prevailing rules and legislation
• Auditing experience
• Experience in the fintech and/or start‑up space

How We Take Care of You:

• Competitive Salary & Stock Options
• Health Benefits
• New Hire Home‑Office Setup: One‑time USD 500
• Monthly Stipend: USD 150 per month via a Brex Card

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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