Compliance Associate - Monitoring

Compliance Monitoring

A leading brokerage is seeking a Compliance Associate to join its growing Compliance Team. This opportunity is a growth hire aimed at supporting the Head of Compliance and the wider team as the firm continues to bolster its compliance function.

Responsibilities

• Conduct monitoring reviews on specific thematic topics where compliance or regulatory risks exist, report findings to Compliance management, recommend steps for mitigation, and action follow-ups with relevant stakeholders.
• Review, develop, and update policies, procedures, and processes to align with regulatory standards.
• Contribute to other compliance policy reviews and compliance projects, engaging with relevant stakeholders as needed.
• Assist in responding to exchange and regulatory enquiries or requests.

Experience

• Proven compliance experience in an FCA-regulated firm (Investment bank, brokerage, trading house, etc.)
• Fixed income or commodities experience is preferred but not essential
• Familiarity with the regulatory requirements of trading exchange
• Demonstrated ability to communicate and interact effectively with front-office sales and trader
• Sound written and spoken communication skills