Compliance Monitoring Associate

We reinvent how trading and investing work by creating exceptional products people love.

Fostering a culture of excellence and high velocity is the key to our success.

Тoday, we serve over 5 million clients, with more than €30 billion in assets under management - a testament to the scale and trust we’ve built in just a few years.

We are looking for a Compliance Monitoring Associate who will play a key role in operating the firms compliance monitoring framework to support the organization in meeting its regulatory obligations. This is a 2LOD compliance monitoring role, working within the wider Compliance team to undertake role assists in day-to-day Market Abuse tasks, will include, but are not limited to, undertaking daily trade surveillance activities, reviewing market manipulations alerts, STOR preparation and submission.

• Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan

• Identify any gaps or weaknesses in the plan and propose remedial actions

• Day to day operation of monitoring tasks, ensuring tests are completed on time and that progress is made against the overall plan

• Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process

• Report and discuss all findings with appropriate management and following up to ensure remediation

• Document the findings, recommended actions and management responses together with agreed timescales and action owners

• Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Compliance Monitoring Manager and where relevant the Head of Compliance

• Track business unit actions to mitigate risk and support continuous improvement across the business

• Support the wider compliance team with ad hoc tasks as required

• 2 – 3 years compliance monitoring experience within financial services.

• Broad understanding of the FCA rules and regulations

• Ability to assimilate complex details quickly and present clearly to the business or in a report

• Strong report writing skills, as well as attention to detail and accuracy

• A calm and methodical approach to troubleshooting issues in a pressured environment

• Service-orientated/ self-starter attitude

• Strong IT skills with a particular focus on Microsoft Word & Excel.

• Educated to degree level in Law, Finance, or a related field.

• Good communication and interpersonal skills.

• Ability to work under pressure and be adaptable.

• Challenges that will help you grow and realize your potential fast.

• Opportunity to make a significant impact - you will build innovative services used by millions of investors to build wealth.

• Work with smart, spirited, helpful, high-performing colleagues with a common goal.

• An environment where nothing is set in stone.

• Appreciation for your talent and ideas.

• Generous remuneration package

Are you ready to accelerate your career with us? We'd love to hear from you!

We thank all applicants, but only candidates selected for an interview will be contacted.

All personal data of applicants is protected by the law and will be treated with strict confidentiality.