Compliance Associate

Overview

In this Compliance Associate role, you support the Compliance Director and broader Legal & Compliance team to ensure Lazard aligns with laws, regulations, and internal policies across the financial advisory business in London. You will help design and monitor the compliance program, perform due diligence, and address issues or breaches with a pragmatic, global perspective. The role emphasizes regulatory knowledge, KYC/AML practices, and effective communication with stakeholders. You will contribute to regulatory change management and reporting to senior management, supporting Lazard’s commitment to compliant, risk-aware advisory services.

Responsibilities

• Provide day-to-day compliance advisory support to the Compliance Director, the General Counsel and other stakeholders
• Design, execute and document the compliance monitoring and testing programme, including monitoring plans and risk-based reviews
• Identify, escalate, and remediate compliance issues, breaches, and control gaps
• Undertake client due diligence (CDD) and enhanced due diligence (EDD) for advisory clients
• Screen clients and counterparties against sanctions lists, PEP databases, and adverse media; escalate high-risk cases
• Maintain integrity of KYC records per internal policies and regulations
• Administer processes related to personal account dealing, outside business interests, gifts and entertainment, and compliance training
• Contribute to regulatory change management (horizon-scanning, impact assessments, implementation)
• Prepare responses to regulatory enquiries and compliance reports for senior management and Board
• Update policies, procedures, and training materials; coordinate with Legal, Risk, Internal Audit, and business units
• Coordinate with Lazard’s European compliance colleagues for consistent group standards
• Maintain compliance systems, trackers, and registers to ensure accuracy

Key requirements

• 3–5 years in compliance, regulatory, legal, audit, or risk in financial services or related environments
• Bachelor’s degree; professional qualification in compliance is a plus
• Working knowledge of FCA rules, MiFID II, AML/CTF as applicable
• Experience in compliance monitoring, advisory, or financial crime functions preferred
• Strong analytical and problem-solving abilities with regulatory interpretation skills
• Excellent written and verbal communication; ability to engage stakeholders at all levels
• High integrity, discretion, and judgment with confidential information
• Strong organizational skills and ability to manage multiple priorities under deadlines
• Proficiency in Microsoft Office; familiarity with compliance monitoring or case management systems is a plus

• strong communication
• attention to detail
• integrity
• discretion
• problem-solving
• KYC/AML

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