At a Glance
- Tasks: Support compliance monitoring and improve controls across business units.
- Company: Join a leading financial institution committed to inclusivity and excellence.
- Benefits: Competitive salary, professional development, and a diverse work environment.
- Other info: Dynamic role with opportunities to work on various projects and enhance policies.
- Why this job: Make a real impact in compliance while growing your career in finance.
- Qualifications: 2+ years in compliance monitoring; degree in relevant field preferred.
The predicted salary is between 45000 - 55000 £ per year.
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.
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.
Compliance Associate - Surveillance & Controls employer: Intesa Sanpaolo Group
As a Compliance Associate at our London office, you will thrive in a dynamic and inclusive work culture that prioritises employee growth and development. We offer comprehensive training programmes, mentorship opportunities, and a commitment to continuous improvement, ensuring you are well-equipped to excel in your role while contributing to the firm's compliance excellence. Join us to be part of a forward-thinking team that values your insights and fosters a collaborative environment, making it an exceptional place to build your career.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate - Surveillance & Controls
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance monitoring. Be ready to discuss how you've tackled challenges in previous roles, as this will show you’re the right fit for the Compliance Associate position.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and match your skills, making your application stand out!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and reinforces your interest in joining their team.
We think you need these skills to ace Compliance Associate - Surveillance & Controls
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the 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 your skills can help us improve our Compliance Monitoring Plan. Keep it concise but impactful.
Showcase Relevant Experience:When detailing your experience, focus on specific examples that demonstrate your understanding of FCA regulations and compliance frameworks. We love seeing how you've tackled challenges in previous roles!
Apply Through Our Website:We encourage you to apply directly 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!
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 the 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 ability to deliver results.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance breaches or emerging risks. Think through how you would escalate issues or recommend improvements, as this will showcase your problem-solving skills and understanding of internal governance.
✨Communicate Clearly
Since you'll be preparing reports for senior management, practice summarising complex information into clear, concise points. During the interview, focus on articulating your thoughts clearly, as effective communication is key in compliance roles.
