At a Glance
- Tasks: Support compliance surveillance and assist with data analysis in a leading investment bank.
- Company: Join a top-tier investment bank in the heart of London.
- Benefits: Gain invaluable experience, mentorship, and networking opportunities in finance.
- Other info: Dynamic team environment with opportunities for growth and development.
- Why this job: Kickstart your career in finance while learning about compliance and risk management.
- Qualifications: Ideal for students or recent grads with strong analytical skills and a passion for finance.
The predicted salary is between 25000 - 30000 £ per year.
A leading Investment Bank is seeking a Compliance Intern to join their team in London.
Overall Purpose of the Role
- Support the tactical surveillance program under the oversight of the Compliance Function.
- To provide consultative, administrative and support services including the performance of routine testing/control work to all business and support units on bank wide compliance requirements in compliance with local regulation and internal procedure.
- To gain experience and knowledge of the various teams within the UK Compliance Department and at the Bank.
Main Responsibilities & Duties
- Assisting the tactical surveillance program in preparation for new technological contracts.
- Liaising with Porto Office Surveillance Team to strengthen electronic communications controls and test surveillance software.
- Assisting with the testing and optimisation of Commodities, Fixed Income and FX tactical surveillance controls.
- Compiling trade-related data to support tactical trade surveillance operations with regards to Front-running checks.
- Drafting, proof-reading and testing procedural documentation associated with surveillance tactical controls.
- Where applicable, assisting in ad hoc electronic communications reviews in collaboration with relevant teams.
- Producing monthly and quarterly management information to support senior management deliverables to various stakeholders within the organisation.
- Organising and maintaining core information records and meeting minutes to support Compliance Team needs.
- Where applicable, follow up on issues identified as part of controls and review work, producing reports of findings when required.
- Where applicable, contribute to regulatory research tasks to support the activities of the Compliance Department.
- Data extraction, manipulation and analysis in support of the above task.
Job Requirements
- Bachelor’s degree or penultimate year student.
- Self-motivated: enthusiasm and aspiration to learn and develop.
- Team spirit, commitment, and flexibility.
- Organised, methodical, and flexible, ability to investigate perceived or actual issues.
- Good relationship building skills.
- Strong analytical skills and attention to detail.
- Ability to work effectively under pressure while prioritising appropriately competing objectives.
- Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing.
- Strong interest in financial markets and/or risk management.
- Understanding of the FCA/EU regulatory regime preferable.
- Proficiency in Excel specifically in terms of handling large volumes of data and the application of reconciliation functions including VLOOKUP, XLOOKUP, MATCHIF and SUMIF functions.
- Python or Type Script skills would be an advantage.
- Familiarity with Microsoft Power applications would also be an advantage
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Compliance/Surveillance Intern employer: LevelUP HCS
As a Senior Banker at our esteemed firm, you will thrive in a dynamic and collaborative environment that champions innovation and professional growth. Our commitment to fostering strong relationships with financial sponsors across diverse sectors ensures that you will be at the forefront of impactful transactions, while our supportive culture encourages mentorship and the development of junior team members. Located in a vibrant financial hub, we offer competitive benefits and unparalleled opportunities for career advancement, making us an exceptional employer for those seeking meaningful and rewarding work.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance/Surveillance Intern
✨Tap Into University Resources
Your university career services can be a goldmine! They're often linked with companies like LevelUP HCS and can help you land your compliance-risk internship. Don’t forget to check if they have any upcoming job fairs or events focused on finance and compliance.
✨Join Compliance and Risk Groups
Get involved in compliance and risk management societies or clubs. Engaging in group discussions and networking with peers passionate about the field can lead to insider tips on internships at places like LevelUP HCS. It’s all about who you know!
✨Leverage Online Platforms
Be active on platforms like LinkedIn and join groups specifically for compliance professionals or students. Share content related to compliance and risk topics which could make you more visible to recruiters scouting for interns at companies such as LevelUP HCS.
✨Showcase Your Projects
If you've done any projects related to compliance or risk management, showcase them! Create a portfolio or a blog to detail what you’ve learned and achieved. This could set you apart when applying for that internship at LevelUP HCS. Don't forget to apply directly through our website for the best chance!
We think you need these skills to ace Compliance/Surveillance Intern
Some tips for your application 🫡
Show Your Understanding of Compliance:When applying for a compliance-risk internship, it's key to highlight your grasp of regulations and risk management. Mention any relevant coursework or projects that demonstrate your knowledge of compliance frameworks or risk assessment methodologies. This shows that you're not just interested in the role, but you also get its importance.
Connect Your Skills to the Job:Tailor your CV to reflect skills like analytical thinking, attention to detail, and problem-solving. Include specific examples from previous coursework or experiences where you've had to analyse data or solve a compliance-related issue. This helps the hiring team see how you'd fit into their team at LevelUP HCS.
Craft a Motivating Cover Letter:Since this is an internship, your cover letter should focus on your motivation and eagerness to learn. Talk about what excites you about compliance and the opportunities at LevelUP HCS. Be clear about how this internship fits into your career path and what you hope to achieve while you're there.
Include Relevant Certificates:If you've got any certifications related to compliance or risk management, definitely flaunt those! Whether it's a course in AML (Anti-Money Laundering) or a certificate in risk assessment, adding those to your application will give you an edge and showcase your commitment to the field.
How to prepare for a job interview at LevelUP HCS
✨Get Savvy with Compliance Regulations
As we're stepping into the compliance-risk field, you want to brush up on key regulations that apply to the industry. Be ready to discuss how companies manage risks and ensure they comply with laws like GDPR or AML, which could come up during your interview with LevelUP HCS.
✨Showcase Your Analytical Skills
In compliance roles, they love a candidate who's good with numbers and analysis. Be prepared to tackle some scenario-based questions that test your analytical ability — maybe something like assessing risk in a case study. Have some examples ready from your studies or previous projects.
✨Demonstrate Your Learning Mindset
Since this is an internship, the hiring team at LevelUP HCS will be keen on how adaptable and willing to learn you are. Share experiences where you took initiative to learn something new, especially in the realm of compliance or risk management. That eagerness shows your potential to grow!
✨Familiarise Yourself with Tools
Make sure you've got a handle on some of the common tools used in compliance-risk management, like GRC software or risk assessment frameworks. If you’ve used anything in your studies or past roles, even if just casually, mention it! Standing out with some tool knowledge doesn’t hurt.
