Compliance Associate

Compliance Associate

City of London Full-Time 28800 - 48000 £ / year (est.) No home office possible
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At a Glance

  • Tasks: Support compliance processes and client onboarding in a fast-paced investment banking environment.
  • Company: Join a global investment bank known for its collaborative and professional culture.
  • Benefits: Enjoy a dynamic work environment with opportunities for growth and development.
  • Why this job: Perfect for detail-oriented problem solvers looking to make an impact in financial services.
  • Qualifications: Bachelor's degree and 3-5 years of compliance experience in financial services required.
  • Other info: Ideal for those who thrive under pressure and enjoy continuous improvement.

The predicted salary is between 28800 - 48000 £ per year.

Job Description

Our client, a global Investment Bank , are seeking a Compliance Associate to support its business across Europe. This is a varied and hands-on role, ideal for someone who thrives in a fast-paced, high-volume environment.

The successful candidate will bring a problem-solving mindset, a high level of attention to detail, and strong multi-tasking and escalation skills.

You'll be joining a collaborative team environment where professionalism, sound judgment, and the ability to handle sensitive information are essential.

Key Responsibilities:

  • Lead the client onboarding process from a KYC/AML perspective
  • Support internal compliance monitoring activities in line with the firm’s Compliance Monitoring Plan
  • Conduct conflicts checks and oversee control room processes (e.g., personal account dealing, gifts/entertainment approvals, outside business activity reviews)
  • Assist with onboarding processes and certification under the Senior Managers and Certification Regime (SMCR)
  • Provide support with regulatory filings and reporting
  • Monitor electronic communications and escalate concerns when necessary
  • Maintain key compliance records and reporting logs
  • Contribute to compliance projects and support the rollout of systems and process improvements
  • Deliver internal compliance training
  • Assist with ad hoc compliance-related tasks
  • Stay up-to-date with relevant regulatory developments impacting financial services

Requirements:

  • Bachelor’s degree (or equivalent qualification)
  • 3–5 years’ experience in a compliance function within financial services, preferably within an investment bank
  • Ability to adapt quickly in a dynamic, high-pressure setting
  • Positive, proactive, and solutions-oriented mindset
  • Comfortable working both independently and collaboratively, with strong escalation judgment
  • Ownership mentality and continuous improvement focus
  • Strong verbal and written communication skills
  • Excellent organisational skills and ability to prioritise effectively
  • Detail-oriented with solid analytical capabilities

Compliance Associate employer: Rutherford

As a global Investment Bank, we pride ourselves on fostering a dynamic and inclusive work culture that empowers our employees to excel in their roles. Our Compliance Associates benefit from comprehensive training programmes, opportunities for professional development, and a collaborative environment where innovation and integrity are at the forefront. Located in a vibrant financial hub, we offer competitive benefits and a commitment to work-life balance, making us an exceptional employer for those seeking a rewarding career in compliance.
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Contact Detail:

Rutherford Recruiting Team

StudySmarter Expert Advice 🤫

We think this is how you could land Compliance Associate

✨Tip Number 1

Familiarise yourself with the latest KYC and AML regulations, as these are crucial for the Compliance Associate role. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to compliance during interviews.

✨Tip Number 2

Network with professionals in the compliance field, especially those working in investment banks. Attend industry events or join relevant online forums to gain insights and potentially get referrals that could help you land the job.

✨Tip Number 3

Prepare to discuss specific examples of how you've handled compliance issues in the past. Highlight your problem-solving skills and attention to detail, as these are key attributes the hiring team will be looking for.

✨Tip Number 4

Showcase your ability to work under pressure by sharing experiences where you successfully managed multiple tasks simultaneously. This will illustrate your capability to thrive in a fast-paced environment, which is essential for this role.

We think you need these skills to ace Compliance Associate

Knowledge of KYC/AML regulations
Compliance Monitoring
Conflict Resolution
Regulatory Filings and Reporting
Electronic Communication Monitoring
Attention to Detail
Analytical Skills
Problem-Solving Mindset
Strong Verbal and Written Communication
Organisational Skills
Ability to Prioritise
Collaboration Skills
Escalation Judgment
Adaptability in High-Pressure Environments
Ownership Mentality

Some tips for your application 🫡

Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly within financial services. Emphasise your problem-solving skills and attention to detail, as these are crucial for the role.

Craft a Strong Cover Letter: In your cover letter, explain why you are interested in the Compliance Associate position and how your background aligns with the key responsibilities outlined in the job description. Use specific examples from your past experience to demonstrate your capabilities.

Highlight Relevant Skills: When detailing your experience, focus on skills that match the job requirements, such as KYC/AML processes, compliance monitoring, and regulatory filings. Mention any experience with training or process improvements as well.

Proofread Your Application: Before submitting, carefully proofread your application materials for any spelling or grammatical errors. A polished application reflects your attention to detail, which is essential for a Compliance Associate.

How to prepare for a job interview at Rutherford

✨Showcase Your Problem-Solving Skills

Prepare examples from your past experience where you successfully navigated compliance challenges. Highlight your analytical capabilities and how you approached problem-solving in a high-pressure environment.

✨Demonstrate Attention to Detail

Since the role requires a high level of attention to detail, be ready to discuss specific instances where your meticulousness made a difference. You might want to mention how you maintained compliance records or conducted thorough checks.

✨Familiarise Yourself with Regulatory Developments

Stay updated on recent regulatory changes affecting financial services. Being able to discuss these developments during your interview will show your commitment to the field and your proactive mindset.

✨Emphasise Team Collaboration

This role involves working within a collaborative team environment. Be prepared to share experiences that demonstrate your ability to work well with others, handle sensitive information, and contribute positively to team dynamics.

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