Compliance Associate

Compliance Associate

London Full-Time 36000 - 60000 £ / year (est.) No home office possible
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At a Glance

  • Tasks: Join a dynamic team ensuring compliance in trading activities and regulatory adherence.
  • Company: Be part of a leading social network focused on compliance and regulatory excellence.
  • Benefits: Enjoy flexible working options and opportunities for professional development.
  • Why this job: Make an impact in a fast-paced environment while enhancing your compliance expertise.
  • Qualifications: 5 years in compliance preferred; relevant experience considered; CISI exams are a plus.
  • Other info: Opportunity to deliver training and engage with various departments.

The predicted salary is between 36000 - 60000 £ per year.

The role is a generalist compliance role with a focus on the trading side of the business, reporting to the Head of Compliance. The successful candidate will be part of a team of three responsible for ensuring that the company has the appropriate controls and procedures in place to ensure compliance with the UK and EU regulatory and legislative regimes applicable to the activities of the company, and all applicable company policies and procedures.

Previous market abuse surveillance experience is essential. The successful applicant will need to be proactive, with an interest in the regulatory environment:

  • Provide compliance advice to the business with a focus on execution services.
  • Knowledge of MAR, transaction reporting, trade reporting, and CASS required.
  • Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate.
  • Drafting and submission of STORs.
  • Investigate and manage responses to ad hoc regulatory or exchange queries.
  • Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required.
  • Understanding of Takeover Panel reporting requirements is preferable.
  • Undertake monitoring of business and staff activities for both the research and trading sides of the business as outlined in the compliance monitoring programme.
  • Deliver induction training sessions and develop ad hoc training for different departments within the firm.

Depending on experience, the candidate will also be responsible for KYC and AML checks, SMCR processes including SMF Applications and Certification.

Key Skills and Experience Required

  • In the region of 5 years’ experience in a compliance function, ideally from an equities/stockbroking background with a professional client-base. Candidates with less than 5 years’ experience but highly relevant experience will also be considered.
  • Previous experience of providing advice on regulatory reporting and market abuse matters.
  • Passed relevant CISI examinations (preferred) or be willing to do so.

Compliance Associate employer: Eximius Finance

As a Compliance Associate at our dynamic firm, you will thrive in a collaborative environment that prioritises professional growth and development. We offer comprehensive training programmes and a supportive culture that encourages proactive engagement with the regulatory landscape, ensuring you are well-equipped to navigate compliance challenges. Located in a vibrant area, our company not only values compliance excellence but also fosters a work-life balance that enhances employee satisfaction and productivity.
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Contact Detail:

Eximius Finance Recruiting Team

StudySmarter Expert Advice 🤫

We think this is how you could land Compliance Associate

✨Tip Number 1

Familiarise yourself with the latest UK and EU regulations relevant to compliance, especially those related to market abuse and transaction reporting. This knowledge will not only help you in interviews but also demonstrate your proactive interest in the regulatory environment.

✨Tip Number 2

Network with professionals in the compliance field, particularly those who have experience in trading and equities. Engaging with industry experts can provide insights into the role and may even lead to referrals or recommendations.

✨Tip Number 3

Consider joining relevant professional groups or forums where compliance topics are discussed. Participating in these communities can enhance your understanding of compliance issues and showcase your commitment to continuous learning.

✨Tip Number 4

Prepare to discuss specific examples from your past experience that highlight your ability to handle market abuse surveillance and regulatory reporting. Being able to articulate your hands-on experience will set you apart during the interview process.

We think you need these skills to ace Compliance Associate

Market Abuse Surveillance
Regulatory Compliance Knowledge
Transaction Reporting
Trade Reporting
CASS Regulations
Compliance Monitoring
Drafting STORs
Investigative Skills
Risk Assessment
Knowledge of MAR
Understanding of Takeover Panel Requirements
KYC and AML Checks
SMCR Processes
Training and Development Skills
Communication Skills
Attention to Detail
Proactive Approach

Some tips for your application 🫡

Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly in market abuse surveillance and regulatory reporting. Use specific examples that demonstrate your understanding of MAR, transaction reporting, and CASS.

Craft a Strong Cover Letter: In your cover letter, express your interest in the role and the regulatory environment. Mention your proactive approach and how your previous experience aligns with the responsibilities outlined in the job description.

Highlight Relevant Qualifications: If you have passed any CISI examinations or have plans to do so, make sure to mention this prominently. This shows your commitment to professional development in the compliance field.

Prepare for Potential Questions: Think about how you would respond to questions regarding your experience with KYC, AML checks, and SMCR processes. Be ready to discuss specific scenarios where you provided compliance advice or managed regulatory queries.

How to prepare for a job interview at Eximius Finance

✨Know Your Regulations

Familiarise yourself with the key regulations such as MAR, CASS, and transaction reporting. Be prepared to discuss how these regulations impact the trading side of the business and provide examples of how you've navigated compliance issues in the past.

✨Showcase Market Abuse Surveillance Experience

Since previous market abuse surveillance experience is essential, be ready to share specific instances where you identified potential risks or concerns. Highlight your proactive approach and any tools or methods you used for monitoring.

✨Prepare for Scenario-Based Questions

Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about how you would handle regulatory queries or implement new regulations, and be ready to articulate your thought process clearly.

✨Demonstrate Training and Communication Skills

As the role involves delivering training sessions, prepare to discuss your experience in training others. Share examples of how you've effectively communicated complex compliance topics to different departments and ensured understanding.

Compliance Associate
Eximius Finance
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  • Compliance Associate

    London
    Full-Time
    36000 - 60000 £ / year (est.)

    Application deadline: 2027-07-18

  • E

    Eximius Finance

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