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- Tasks: Review trading activities, monitor communications, and support compliance processes.
- Company: Join Alvar Financial Services, a boutique firm with a collaborative culture.
- Benefits: Gain valuable experience in compliance and regulatory activities.
- Other info: Dynamic environment with opportunities for personal and professional growth.
- Why this job: Make a real impact in financial services while growing your skills.
- Qualifications: Experience in compliance or trade surveillance; strong analytical and communication skills.
The predicted salary is between 35000 - 45000 £ per year.
The Compliance Associate's primary focus is to undertake the day‑to‑day review and analysis of surveillance alerts, conduct communications monitoring, and provide broader support to the Compliance team across a variety of regulatory activities.
Key responsibilities:
- Review daily trading activity to identify unusual or potentially suspicious behaviour.
- Conduct daily and monthly e‑communications and voice recording monitoring, escalating issues where appropriate.
- Analyse emerging trends and support ongoing enhancements to surveillance processes.
- Respond to compliance-related BAU queries from the business, including basic AML questions and trading jurisdiction checks.
- Work with the wider business units to conduct onboarding checks, KYC refreshes, and general compliance reviews.
- Assist in review and updating of policies, procedures, and compliance documentation.
- Assist the broader Compliance function with ad-hoc tasks and project work as needed.
- Complete monitoring reviews in line with the Compliance Monitoring Plan.
- Assist with the production of monthly Management Information (MI) across surveillance, monitoring programmes, and Consumer Duty.
- Support the firm’s risk frameworks, ensuring controls remain effective and up to date.
- Any other ad hoc duties that may be required.
The ideal candidate will have:
- Good experience in a Compliance Monitoring, Trade Surveillance, or similar regulatory role within financial services (experience in trading environments and/or retail brokerages desirable).
- Exposure to analysing alerts or working with surveillance systems is desired.
- Strong IT literacy and the ability to learn new systems quickly.
- Comfortable navigating the FCA Handbook and familiar with core FCA regulatory expectations.
- Excellent written skills, with the ability to produce clear, concise reports.
- Strong verbal communication and confidence engaging with stakeholders.
- Analytical mindset with strong attention to detail.
- Able to work accurately under time pressure.
- Curious, proactive, and eager to learn across multiple areas of Compliance.
- Organised and capable of managing your own workload effectively.
About Us
Alvar Financial Services is a boutique firm offering a variety of investment and trading services through its business lines - Equity Markets for professional and institutional clients, Research Services and Electronic Global Retail Platform for private clients. Our small community and flat structure empowers our people to grow and create unconstrained ideas within their field of expertise, driving innovation and mastery in their work. We all work together as one to achieve our vision of being a trusted partner to our clients, providing unrivalled insights and a collaborative high touch service. Alvar Financial Services is committed to providing reasonable accommodations in our job application procedures for individuals with disabilities. Please inform our HR Team via this application process if you need any assistance in participating in the process.
Compliance Associate in London employer: Alvar
Contact Detail:
Alvar Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate in London
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance field on LinkedIn or at industry events. A friendly chat can open doors that a CV just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and current compliance trends. Show us you’re not just a candidate, but a compliance enthusiast ready to dive in!
✨Tip Number 3
Practice your communication skills! Whether it’s explaining complex compliance issues or discussing your analytical mindset, being clear and confident will set you apart from the crowd.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who are keen to join our community!
We think you need these skills to ace Compliance Associate in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Associate role. Highlight your experience in compliance monitoring and trade surveillance, and show us how your skills align with our needs.
Show Off Your Writing Skills: Since excellent written skills are key for this role, ensure your application is clear and concise. Use straightforward language and structure your thoughts logically to demonstrate your ability to produce reports.
Be Specific About Your Experience: When detailing your past roles, focus on specific examples that showcase your analytical mindset and attention to detail. Mention any relevant tools or systems you've used, especially in trading environments.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team.
How to prepare for a job interview at Alvar
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially the FCA Handbook. Being able to discuss specific regulations and how they apply to the role will show that you're serious about the position.
✨Show Off Your Analytical Skills
Prepare examples of how you've previously identified unusual trading behaviours or analysed alerts. Be ready to discuss your thought process and the outcomes of your analyses to demonstrate your analytical mindset.
✨Communicate Clearly
Since the role involves engaging with stakeholders, practice articulating your thoughts clearly and concisely. You might even want to prepare a few mock scenarios where you explain compliance concepts to someone unfamiliar with them.
✨Be Proactive and Curious
During the interview, express your eagerness to learn and adapt. Share instances where you've taken the initiative in previous roles, whether it was improving processes or learning new systems quickly. This will resonate well with their emphasis on innovation and mastery.