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- Tasks: Support compliance monitoring and enhance controls in a dynamic banking environment.
- Company: Join a leading banking group with a strong commitment to sustainability and inclusivity.
- Benefits: Competitive salary, inclusive culture, and opportunities for professional growth.
- Why this job: Make a real impact in regulatory compliance while working with a diverse team.
- Qualifications: Degree in relevant field and 2 years of compliance monitoring experience required.
- Other info: Be part of an innovative group that values your contributions and empowers your career.
The predicted salary is between 36000 - 60000 £ per year.
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!
Compliance Associate - Surveillance & Controls employer: Intesa Sanpaolo
Contact Detail:
Intesa Sanpaolo Recruiting Team
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, especially those who work at Intesa Sanpaolo or similar firms. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for the interview by brushing up on FCA regulations and compliance monitoring practices. We want you to be able to discuss how your experience aligns with the role, so think of examples that showcase your skills in action.
✨Tip Number 3
Don’t forget to follow up after your interview! A quick thank-you email can leave a lasting impression and show your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the perfect fit.
✨Tip Number 4
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 engage directly with us. Let’s make this happen!
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 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 shows you’re keen to join our team!
How to prepare for a job interview at Intesa Sanpaolo
✨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 how you tracked and verified remediation actions, 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 emerging trends. Think through how you would escalate risks or assess internal controls, and be ready to articulate your thought process clearly.
✨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.