At a Glance
- Tasks: Support compliance monitoring and improve regulatory controls in a dynamic banking environment.
- Company: Join Intesa Sanpaolo, a leading financial institution with a strong commitment to compliance.
- Benefits: Competitive salary, professional development, and a supportive team culture.
- Other info: Opportunity for career growth in a fast-paced, collaborative environment.
- Why this job: Make a real impact on compliance and regulatory standards in the finance sector.
- Qualifications: Strong analytical skills and a keen interest in regulatory compliance.
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.
CCO_Compliance Associate - Surveillance & Controls in London employer: Intesa Sanpaolo Group
Intesa Sanpaolo offers a dynamic and inclusive work environment in the heart of London, where employees are empowered to contribute to meaningful compliance initiatives. With a strong focus on professional development, the company provides ample opportunities for growth and advancement within the regulatory landscape. Employees benefit from a collaborative culture that values integrity and innovation, making it an excellent employer for those seeking a rewarding career in compliance.
StudySmarter Expert Advice🤫
We think this is how you could land CCO_Compliance Associate - Surveillance & Controls in London
✨Tip Number 1
Network like a pro! Reach out to folks 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 FCA regulations and compliance standards. We want you to be the go-to person for questions about SYSC, COBS, and MAR. Show them you know your stuff!
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors. Focus on articulating how you would handle compliance monitoring and risk assessment scenarios. Confidence is key!
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who take the initiative to connect directly with us.
We think you need these skills to ace CCO_Compliance Associate - Surveillance & Controls in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the CCO_Compliance Associate role. Highlight relevant experience in compliance monitoring and regulatory frameworks, as this will show us you understand what we're looking for.
Craft a Compelling Cover Letter:Your cover letter should tell us why you're passionate about compliance and how your skills align with our needs. Be specific about your experience with FCA regulations and monitoring activities to grab our attention.
Showcase Your Analytical Skills:In your application, emphasise your analytical skills and experience with thematic reviews or sample testing. We want to see how you assess risks and recommend improvements, so give us some solid examples!
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 shows us you’re keen on joining our team!
How to prepare for a job interview at Intesa Sanpaolo Group
✨Know Your Compliance Stuff
Make sure you brush up on the key regulations like FCA expectations, SYSC, COBS, and MAR. Being able to discuss these confidently will show that you understand the compliance landscape and can contribute effectively to the team.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios or breaches. Think of examples from your past experience where you successfully identified risks or implemented controls, and be ready to share those stories.
✨Show Your Analytical Skills
This role involves a lot of assessment and reporting, so be prepared to demonstrate your analytical skills. You might be asked how you would approach thematic reviews or sample testing, so think through your methodology and be ready to explain it.
✨Communicate Clearly
Since you'll be preparing reports for senior management, practice articulating your thoughts clearly and concisely. During the interview, focus on being straightforward in your answers, as this will reflect your ability to prepare clear monitoring reports.
