Compliance Associate

Lazard is one of the world’s preeminent financial advisory and asset management firms. Our people and culture make the difference. While global in presence and reach, ours is a close, collaborative community of just over 3,000 professionals. Lazard is a place of continuous knowledge sharing, skill development and relationship building, where professionals grow and succeed together. Our entrepreneurial culture, flat structure and embrace of individual differences, allow creative ideas, original concepts, and unique perspectives to drive our business forward — and for careers to take flight.

Through our financial advisory business, Lazard advises clients around the world on strategic and financial matters including mergers and acquisitions, restructurings, capital structure and capital raising. Our client relationships are built on trust and discretion. As the world’s largest advisory-focused firm, we have exceptional depth of expertise across industry sectors and geographies. We value the rich diversity that comes from blending local perspective with our global network.

Compliance Associate - London

Lazard is seeking a Compliance Associate to join the Legal & Compliance function supporting the Compliance Director in relation to the financial advisory business in London. The successful candidate will help ensure the firm's adherence to applicable laws, regulations and internal policies across all areas of compliance, including regulatory advisory, conduct and ethics, financial crime prevention including client due diligence, day-to-day compliance monitoring and reporting activities across the business. This hands-on role is suited to a compliance professional with 3–5 years of relevant experience who is looking to develop deeper expertise in supporting the delivery of the firm’s compliance programme within a global financial advisory environment.

This role will require the successful candidate to be proactive, detail-oriented, and a strong communicator with a solid understanding of the regulatory landscape applicable to the financial advisory sector, including KYC/AML frameworks and compliance monitoring methodologies. The individual should have a demonstrable interest in regulatory developments and a pragmatic, global approach to problem solving.

We’ll trust you to:

• Provide day-to-day compliance advisory support to the Compliance Director, the General Counsel and other stakeholders on regulatory requirements, firm policies and procedures

• Support the design, execution and documentation of the compliance monitoring and testing programme, including preparation of monitoring plans, execution of thematic and risk-based reviews, and documentation of findings.

• Assist with the identification, escalation, and remediation of compliance issues, breaches, and control gaps including those arising from monitoring activity.

• Undertake client due diligence (CDD) and enhanced due diligence (EDD) for new and existing advisory clients, including identification and verification of beneficial owners.

• Handle screening of clients and counterparties against sanctions lists, PEP databases, and adverse media sources, escalating higher-risk cases to the Compliance Director, 

• Ensure the integrity of the firm’s KYC records, setting standards for accuracy and completeness in line with internal policies and applicable regulations.

• Assist with the administration of processes relating to personal account dealing, outside business interests, gifts and entertainment and the compliance training programme.

• Contribute to regulatory change management, including horizon-scanning, impact assessments, and implementation of new or amended regulatory requirements (e.g., FCA, or other applicable regulators).

• Support preparation of responses to regulatory enquiries.

• Support the preparation of compliance reporting for senior management, committees, and the Board, including metrics, dashboards, and narrative commentary.

• Support the update of compliance policies, procedures, and training materials.

• Liaise with Legal, Risk, Internal Audit, and business units to ensure a coordinated approach to compliance risk management.

• Coordinate with compliance colleagues across Lazard’s European offices to support the consistent implementation of group compliance standards.

• Assist with the maintenance of compliance systems, trackers, and registers, ensuring accuracy and completeness of records.

You’ll need to have:

• 3–5 years of experience in a compliance, regulatory, legal, audit, or risk function, ideally from an investment bank.

• Bachelor's degree required; a relevant professional qualification (e.g., ICA Certificate/Diploma in Compliance, CISI, CAMS) is an advantage.

• Working knowledge of relevant regulatory frameworks (e.g., FCA rules, MiFID II, AML/CTF requirements) as applicable to the role's jurisdiction.

• Experience supporting compliance monitoring, advisory, or financial crime functions preferred.

• Strong analytical and problem-solving skills, with the ability to interpret regulatory requirements and apply them practically.

• Excellent written and verbal communication skills, with the ability to engage confidently with stakeholders at all levels.

• High degree of integrity, discretion, and sound judgment when handling confidential and sensitive information.

• Strong organisational skills and attention to detail, with the ability to manage multiple priorities under deadline pressure.

• Proficiency in Microsoft Office (Excel, PowerPoint, Word); familiarity with compliance monitoring or case management systems is a plus.
   

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Representation at Lazard

Lazard is an intellectual capital business committed to delivering the best advice and solutions to clients. To achieve these objectives, we focus on attracting, developing and retaining the best talent. We believe that a workforce comprised of people who represent a wide array of backgrounds, experiences and perspectives creates a rich variety of thought that empowers us to challenge conventional wisdom, solve problems creatively and make better decisions.

Lazard was built on the premise that a multicultural firm can best serve a global clientele. As a global firm that has grown organically from local roots in different countries, we have a deep tradition of respecting and appreciating individual differences. Doing so has been core to our success for over 175 years. We are committed to sustaining an environment where every colleague is supported in their professional pursuits, can maximize their individual potential and contribute to our collective success.