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.
- Other info: Opportunity for growth in a fast-paced, evolving industry.
- 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.
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
dnevo Partners is an exceptional employer that fosters a vibrant startup culture, encouraging innovation and collaboration among its team members. With a strong focus on employee growth, the company provides clear pathways for career advancement in the rapidly evolving fintech sector across the UK and Europe. Join us to be part of a dynamic environment where your contributions directly impact our success and where you can thrive professionally.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Associate, Surveillance and Trade Monitoring
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like dnevo Partners looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Associate, Surveillance and Trade Monitoring
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at dnevo Partners. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at dnevo Partners
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with dnevo Partners’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
