Compliance Associate
£35k - £40k per annum + benefits
London / Hybrid (4 days a week onsite)
Permanent
Are you an organised and detail-focused compliance professional looking for your next challenge? Do you enjoy working across a broad range of compliance activities, from monitoring and reporting to training and policy development? If so, this could be the opportunity you've been looking for.
We're recruiting on behalf of a highly respected financial services organisation seeking a Compliance Associate to join its collaborative Compliance team. You'll play a key role in supporting regulatory compliance across the business, helping to identify, monitor and mitigate risk while ensuring robust processes and controls remain in place.
This is an excellent opportunity to broaden your compliance expertise, gain exposure to a wide variety of regulatory activities and work alongside experienced professionals in a supportive environment.
What you'll be doing
£35k - £40k per annum + benefits
London / Hybrid (4 days a week onsite)
Permanent
Are you an organised and detail-focused compliance professional looking for your next challenge? Do you enjoy working across a broad range of compliance activities, from monitoring and reporting to training and policy development? If so, this could be the opportunity you've been looking for.
We're recruiting on behalf of a highly respected financial services organisation seeking a Compliance Associate to join its collaborative Compliance team. You'll play a key role in supporting regulatory compliance across the business, helping to identify, monitor and mitigate risk while ensuring robust processes and controls remain in place.
This is an excellent opportunity to broaden your compliance expertise, gain exposure to a wide variety of regulatory activities and work alongside experienced professionals in a supportive environment.
What you'll be doing
- Maintaining key internal compliance registers, including Insiders, Breaches & Incidents, Gifts & Entertainment, Personal Trades, Conflicts of Interest and Internal Training.
- Developing, completing and reporting on compliance monitoring activities covering client trades, personal account dealing, transactions, communications and social media.
- Supporting the implementation and ongoing use of online compliance monitoring systems, acting as a liaison with system providers where required.
- Carrying out ad hoc compliance reviews, assurance activities and risk-based monitoring.
- Monitoring for areas including Market Abuse, Insider Dealing, Best Execution and Vulnerable Clients, escalating concerns where appropriate.
- Producing weekly, monthly and annual management information (MI) and delivering clear compliance reporting.
- Processing wall-crossing notifications and escalating Suspicious Transaction and Order Reports (STORs) in line with regulatory requirements.
- Creating annual compliance training plans, administering online learning and delivering engaging in-person compliance training.
- Supporting the compliance onboarding process for new employees and promoting a strong culture of regulatory awareness.
- Writing, reviewing and improving compliance procedures, policies and documentation.
- Processing internal and cross-departmental compliance requests while providing advice and support to the wider business.
- Providing cover across the Compliance team, including SmartSearch alert clearing, AML/AMC checks and onboarding-related compliance activities.
- Managing compliance communications and contributing to continuous improvement across the compliance function.
- Previous experience in a Compliance, Risk or Financial Crime role within financial services.
- Strong understanding of regulatory compliance, monitoring and governance processes.
- Experience maintaining compliance registers, producing MI and preparing compliance reports.
- Knowledge of market abuse regulations, personal account dealing, STORs and wall-crossing processes.
- Experience reviewing policies, procedures and internal controls.
- Excellent organisational skills with strong attention to detail and the ability to manage multiple priorities.
- Confident communicator with the ability to build relationships across the business and deliver compliance training.
- Proactive approach to identifying risks and recommending practical improvements.
- Strong written communication skills, with experience drafting procedures and compliance documentation.
- Desirable: Law degree, Master's degree, CISI Level 2 Fundamentals of Financial Services qualification, or working towards the CISI Level 3 Risk and Compliance qualification.
