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- Tasks: Support compliance monitoring and improve controls in a dynamic banking environment.
- Company: Join a leading Italian banking group with a strong commitment to sustainability.
- Benefits: Competitive salary, inclusive culture, and opportunities for professional growth.
- Why this job: Make a real impact on compliance and regulatory standards in a global setting.
- Qualifications: Degree in relevant fields and 2 years of compliance experience required.
- Other info: Be part of an innovative team that values diversity and empowerment.
The predicted salary is between 40000 - 50000 £ 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.
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 in London employer: Intesa Sanpaolo
Contact Detail:
Intesa Sanpaolo Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Associate - Surveillance & Controls in London
✨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 recommend creating a cheat sheet of key points to discuss, so you can showcase your knowledge and confidence when it counts.
✨Tip Number 3
Don’t forget to follow up after your interview! A quick thank-you email reiterating your interest in the role and highlighting a key discussion point can keep you fresh in their minds. It shows you're keen and professional!
✨Tip Number 4
Apply through our website for the best chance! We love seeing applications directly from candidates who are genuinely interested in joining our team. Plus, it makes it easier for us to track your application and get back to you quickly.
We think you need these skills to ace Compliance Associate - Surveillance & Controls in London
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 Your Regulatory Knowledge: Since this role involves understanding FCA regulations, make sure to mention your familiarity with COBS, MAR, and SYSC. We’re looking for someone who knows their stuff, so don’t hold back on showcasing your expertise!
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 – just a few clicks and you’re done!
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 are ready to hit the ground running.
✨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 risk management. Think through how you would escalate significant risks or recommend improvements to internal controls, as this will showcase your problem-solving skills.
✨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.