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- Tasks: Monitor trades for compliance and support the Risk and Compliance Team with various tasks.
- Company: Dynamic financial services firm based in the heart of London.
- Benefits: Competitive salary, full-time role, and opportunities for professional growth.
- Why this job: Join a vibrant team and make a real impact in compliance and risk management.
- Qualifications: 3+ years in compliance, preferably with algorithmic trading experience.
- Other info: Fast-paced environment with exposure to regulatory changes and career advancement.
The predicted salary is between 36000 - 60000 £ per year.
This range is provided by dnevo Partners. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Our Client, a diversified City of London based Financial Services firm is looking to hire an Associate level person to the Compliance Team. The firm handles brokerage, investment banking, trading, wealth management, and principal investment. The role is fully onsite and will provide a varied environment.
Main Purpose of role:
- Monitor trades for compliance with local regulations.
- Monitor trading books for risk limit breaches for escalation.
- Support the broader Risk and Compliance Team with ad‑hoc tasks as may be required during less busy periods.
Key tasks:
- Perform pre‑trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
- Work with CRO to maintain a compliance culture within the business.
- Evolve the framework of compliance monitoring and carry out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.
- Handle staff dealing approval, monitoring and review staff dealing‑related reports.
- Support disclosures of interest and other regulatory reporting and filing for the company in the UK.
- Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquiries.
- Coordinate with IT on system enhancement and user‑acceptance testing for features related to compliance.
- Assist in other tasks assigned and ad‑hoc projects including due diligence checks.
- Review current/future regulatory changes and provide recommendations to the business on likely impact.
Requirements:
- Minimum 3 years’ experience in handling compliance matters, experience with algorithmic trading is preferred.
- Good exposure to MAR (Market Abuse) is essential.
- Familiarity with Bloomberg useful.
- Immediately available or with short notice is preferred.
Seniority level: Associate
Employment type: Full‑time
Job function: Finance
Senior Compliance Associate, Compliance and Trade Monitoring in England employer: dnevo Partners
Contact Detail:
dnevo Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Associate, Compliance and Trade Monitoring in England
✨Tip Number 1
Network like a pro! Reach out to people in the compliance and finance sectors on LinkedIn. A friendly message can go a long way, and you never know who might have the inside scoop on job openings.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and market abuse. We recommend doing mock interviews with friends or using online platforms to get comfortable with common questions.
✨Tip Number 3
Showcase your skills! Bring examples of how you've handled compliance issues in the past to your interviews. Real-life scenarios can demonstrate your expertise and make you stand out.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Senior Compliance Associate, Compliance and Trade Monitoring in England
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Associate role. Highlight your experience with compliance matters and any exposure to algorithmic trading. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team. Keep it concise but impactful – we love a good story!
Showcase Relevant Experience: When detailing your experience, focus on specific examples that demonstrate your ability to monitor trades and handle compliance tasks. We’re keen to see how you've tackled challenges in previous roles!
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it makes the process smoother for everyone involved!
How to prepare for a job interview at dnevo Partners
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially around Market Abuse Regulation (MAR). Be ready to discuss how you've handled compliance matters in the past and any experience with algorithmic trading. This will show that you're not just familiar with the theory but have practical experience too.
✨Showcase Your Analytical Skills
Since the role involves monitoring trades and assessing risk limits, be prepared to demonstrate your analytical skills. Think of examples where you've successfully identified compliance issues or risk breaches in previous roles. Use specific metrics or outcomes to highlight your impact.
✨Familiarise Yourself with the Company
Do a bit of homework on the financial services firm you're interviewing with. Understand their business model, the types of trading they engage in, and any recent news about them. This will help you tailor your answers and show genuine interest in the company.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess how you'd handle compliance challenges. Practice articulating your thought process and decision-making steps in these situations. This will demonstrate your problem-solving abilities and how you can contribute to maintaining a strong compliance culture.
