Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- 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, hands-on experience, and a vibrant work environment.
- Why this job: Join a team that shapes compliance culture and tackles real-world financial challenges.
- Qualifications: 3+ years in compliance, algorithmic trading experience preferred.
- Other info: Opportunity for growth in a fast-paced, evolving industry.
The predicted salary is between 36000 - 60000 £ per year.
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, Surveillance and Trade Monitoring 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
✨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 want to see your passion for compliance and risk management shine through!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that resonate with your values and career goals. Use our website to find roles that match your skills and interests. Tailor your approach to each company to show you’re genuinely interested!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share any additional thoughts you have about the role or the company to reinforce your enthusiasm. Let’s make sure they remember you!
We think you need these skills to ace Senior Compliance Associate, Surveillance and Trade Monitoring
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 monitoring and any relevant skills that match the job description. We want to see how you fit into our team!
Showcase Relevant Experience: When writing your cover letter, focus on your experience with algorithmic trading and MAR. Share specific examples of how you've handled compliance matters in the past. This helps us understand your background better!
Be Clear and Concise: Keep your application clear and to the point. Use bullet points where possible to make it easy for us to read. We appreciate a well-structured application that gets straight to the important bits!
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. We can’t wait to see what you bring to the table!
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 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 during the interview.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that test your problem-solving abilities in compliance situations. Think about how you would handle potential breaches or regulatory inquiries. Practising these scenarios can help you articulate your thought process clearly and confidently during the interview.
