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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.
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.
Senior Compliance Associate, Surveillance and Trade Monitoring in London employer: dnevo Partners
Contact Detail:
dnevo Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Associate, Surveillance and Trade Monitoring in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and market abuse. Be ready to discuss how your experience aligns with the role. We recommend practising common interview questions with a friend or using mock interviews.
✨Tip Number 3
Showcase your skills! Create a portfolio that highlights your achievements in compliance monitoring and risk management. This can be a great conversation starter during interviews and will set you apart from other candidates.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search. Let’s get you that Senior Compliance Associate role!
We think you need these skills to ace Senior Compliance Associate, Surveillance and Trade Monitoring in London
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 the perfect fit for our Compliance Team. Share specific examples of your past work that relate to the key tasks mentioned in the job description.
Showcase Relevant Experience: When filling out your application, be sure to showcase your experience with MAR and any familiarity with Bloomberg. We love seeing candidates who can hit the ground running, so make those experiences stand out!
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 whole 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 insights 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 improved processes. Use specific metrics or outcomes to highlight your contributions.
✨Familiarise Yourself with the Company
Do a bit of homework on the firm and its operations in brokerage, investment banking, and trading. Understanding their business model will help you tailor your answers and show that you're genuinely interested in the role. Plus, it’ll give you a chance to ask insightful questions!
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving abilities in compliance situations. Think about how you would handle potential breaches or regulatory changes. Practising these scenarios can help you articulate your thought process clearly during the interview.
