At a Glance
- Tasks: Support compliance monitoring and enhance internal controls in a dynamic regulatory environment.
- Company: Join a leading banking group with a strong commitment to sustainability and inclusivity.
- 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 are encouraged to apply.
- Why this job: Gain valuable experience in compliance while working with senior stakeholders on critical projects.
- Qualifications: 2+ years in compliance monitoring and a degree or relevant qualifications.
The predicted salary is between 45000 - 55000 £ per year.
Location: London, GB
Overview
Join the Regulatory Compliance team in the London Branch, where you will support the delivery and continuous enhancement of the Compliance Monitoring Plan while strengthening internal controls in a highly regulated environment. You will gain broad exposure to monitoring activities, including reviews, testing and reporting to senior stakeholders, while contributing to the identification of risks and the implementation of effective remediation actions.
What you’ll be doing
- 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.
Who we are looking for
- Minimum of 2 years experience conducting compliance monitoring reviews and surveillance.
- 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. 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.
Surveillance & Controls Compliance Associate employer: Intesa Sanpaolo Group
Join a leading banking group in Italy and one of the top-tier institutions in Europe, where you will thrive in a dynamic and inclusive work environment in London. We prioritise employee growth through continuous training and development opportunities, ensuring that you are well-equipped to excel in your role as a Surveillance & Controls Compliance Associate. With a strong commitment to sustainability and social impact, we foster a culture where every team member is valued and empowered to contribute meaningfully.
StudySmarter Expert Advice🤫
We think this is how you could land Surveillance & Controls Compliance Associate
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Be ready to discuss how your experience aligns with their needs, especially around FCA regulations and compliance monitoring.
✨Tip Number 3
Showcase your skills through practical examples. When discussing your experience, highlight specific projects or challenges you've tackled that relate to compliance monitoring and internal controls.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team.
We think you need these skills to ace Surveillance & Controls Compliance Associate
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experiences that match the job description. Highlight your compliance monitoring experience and any relevant qualifications to show us you’re the right fit for the role.
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 background aligns with our needs. Keep it concise but impactful, and don’t forget to mention your understanding of FCA regulations.
Showcase Your Analytical Skills:In your application, emphasise your ability to conduct reviews and assessments. We want to see examples of how you've identified risks and implemented effective controls in previous roles. Numbers and outcomes speak volumes!
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 shows us you’re keen on joining our team!
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 environment you'll be working in.
✨Showcase Your Experience
Prepare specific examples from your past compliance monitoring reviews or surveillance work. Highlight how you've conducted thematic reviews or tracked remediation actions, as this will demonstrate your hands-on experience and problem-solving skills.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle certain compliance scenarios or risks. Think through potential situations beforehand and be ready to explain your thought process and the steps you would take to mitigate risks.
✨Communicate Clearly
Since you'll be preparing reports for senior management, practice summarising complex information into clear, concise points. This will not only help in the interview but also in your future role when presenting findings.
