At a Glance
- Tasks: Support compliance monitoring and enhance controls in a dynamic banking environment.
- Company: Join Intesa Sanpaolo, a leading banking group with a commitment to sustainability.
- Benefits: Inclusive culture, career growth opportunities, and a chance to make a real impact.
- Other info: Fluency in a European language is a plus; diverse applicants encouraged to apply.
- Why this job: Be part of a team that shapes compliance standards and drives positive change.
- Qualifications: Degree in relevant fields and 2 years of compliance monitoring experience required.
The predicted salary is between 36000 - 60000 £ per year.
Location: London, GB
Scope and Purpose
This role supports the activities of the Intesa Sanpaolo London Branch Regulatory Compliance Department and involves a variety of tasks, including:
- Assist in delivering, executing, and continuously improving the firm’s Compliance Monitoring Plan (CMP).
- Conduct thematic reviews, sample testing, and outcome‑based assessments across business units.
- Track and verify the implementation of remediation actions, ensuring timely resolution and effective controls.
- Prepare clear and concise monitoring reports for senior management and relevant committees.
- Ensure monitoring activities align with FCA expectations, particularly SYSC, COBS, MAR, SMCR, and conduct risk standards.
- Escalate significant risks, breaches, or emerging trends in accordance with internal governance.
- Assess the effectiveness of internal controls and regulatory frameworks, identifying weaknesses and providing clear recommendations.
- Assist in the maintenance of Watch Lists.
- eComms surveillance and controls around flows of inside information within the Bank.
- Provide support on ad hoc tasks and projects as requested.
- Develop and enhance policies and procedures relating to controls and monitoring liaising with other areas of the business, as necessary.
Required Experience
Minimum of 2 years experience conducting compliance monitoring reviews and surveillance.
Required Qualifications, Skills and Knowledge
- Degree educated (Law, accountancy, economics, business) or relevant professional qualifications (CISI/ICA).
- Strong understanding of the UK regulatory framework, particularly FCA rulebooks namely COBS, MAR and SYSC, as well as familiarity with European regulations, such as MiFID and EMIR.
- Experience with managing MNPI and using watch list tools.
- Knowledge of one or more asset classes: fixed income, equities, FX, or equity derivatives.
- Fluent in a European language is advantageous.
About us
We are the leading banking group in Italy and one of the Top Tier in Europe. Join us and be part of our successful story! With over 20 million customers in Italy and abroad, we are a true engine of sustainable growth, with a strong commitment to the environment and a tangible impact on society. People are our driving force. We take care of them and foster an inclusive culture where everyone feels valued and empowered. Join an international and innovative Group. Don’t wait for the future, choose it! We guarantee an inclusive and equal environment. We will consider all applicants regardless of race, religion, sexual orientation, gender identity, marital status, national origin, age, disability, or any other protected category in compliance to D.lgs. 198/2006, 215/03 and 216/03.
CCO_Compliance Associate - Surveillance & Controls employer: Intesa Sanpaolo Group
Intesa Sanpaolo is an exceptional employer located in the vibrant city of London, offering a dynamic work environment that prioritises employee growth and inclusivity. With a strong commitment to regulatory compliance and sustainable practices, employees are empowered to contribute meaningfully while enjoying comprehensive benefits and opportunities for professional development within a supportive international team.
StudySmarter Expert Advice🤫
We think this is how you could land CCO_Compliance Associate - Surveillance & Controls
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those who work at Intesa Sanpaolo or similar firms. A friendly chat can open doors and give you insights that job descriptions just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance monitoring. We recommend creating a cheat sheet with key points to discuss, so you can impress the interviewers with your expertise.
✨Tip Number 3
Showcase your experience with compliance tools and methodologies during interviews. Be ready to share specific examples of how you've conducted reviews or managed MNPI, as this will demonstrate your hands-on skills.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're genuinely interested in joining our team at Intesa Sanpaolo.
We think you need these skills to ace CCO_Compliance Associate - Surveillance & Controls
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the CCO_Compliance Associate role. Highlight your experience with compliance monitoring and any relevant qualifications. We want to see how your background aligns with our needs!
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 understanding of FCA regulations and compliance frameworks. We’re looking for candidates who can hit the ground running!
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’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at Intesa Sanpaolo Group
✨Know Your Regulations
Make sure you brush up on the UK regulatory framework, especially FCA rulebooks like COBS, MAR, and SYSC. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've conducted compliance monitoring reviews or surveillance. Highlight any thematic reviews or assessments you've led, as this will demonstrate your hands-on experience and problem-solving skills.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance breaches or risk management. Practise how you would escalate significant risks or recommend improvements to internal controls, as this will showcase your critical thinking and decision-making abilities.
✨Communicate Clearly
Since you'll be preparing reports for senior management, practice summarising complex information into clear, concise points. This skill is crucial, so consider doing mock interviews where you explain compliance concepts in simple terms to someone unfamiliar with the field.
