At a Glance
- Tasks: Support compliance programmes and ensure adherence to regulations in a dynamic fintech environment.
- Company: Join Sharegain, a pioneering fintech company revolutionising securities lending for all investors.
- Benefits: Competitive salary, flexible working hours, and opportunities for professional growth.
- Other info: Collaborative culture with a focus on diversity and inclusion.
- Why this job: Be part of a mission to democratise capital markets and make a real impact.
- Qualifications: Degree in Law, Economics, or relevant field; 1-2 years FCA compliance experience preferred.
The predicted salary is between 35000 - 45000 € per year.
About Us
Sharegain began with one question: If the largest institutions solely exercise the right to lend their stocks, bonds, and ETFs, what would it take to unlock this revenue opportunity for every investor? Our team of experts in the US, UK and Israel built the solution: a platform that empowers online brokers, private banks, and wealth managers to offer securities lending to their clients. We call it SLaaS: Securities Lending as a Service. It's a fully digital, customizable, end‐to‐end solution that automates front‐ and back‐office operations. Institutions and investors are now free to earn more from what they own. Every Sharegainer has their own backstory, but we all share an ambition to do things differently – bigger, better, and greater. Together we're on a mission to democratize capital markets by building a more liquid world. The more we share, the more we all gain.
About The Role
We are looking for a Compliance Associate to join our fast‐growing fintech scale‐up to assist with administration of the compliance programme of our FCA‐regulated entity, Sharegain Ltd. Reporting to VP Compliance, this is a broad role encompassing responsibilities in Compliance and Risk Management second‐line functions, offering a great opportunity for someone eager to learn and broaden their skills. You will have an opportunity to work with many different stakeholders of all levels of seniority across the organisation on a variety of Risk and Compliance matters. This role is for you if you have a thirst for knowledge and are diligent, detail‐oriented, and passionate about doing the right thing.
Responsibilities
- Policies & Procedures: Assist with the development, implementation, and maintenance of the entity's policies and procedures. Administer the policy management process, ensuring that policies and procedures are updated, reviewed and approved by relevant owners, and published and read by the relevant audience.
- Marketing Communications & Financial Promotions: Review and approve marketing materials, financial promotions and other communications for compliance with applicable regulatory requirements and content standards.
- Personal Account (PA) Dealing: Review PA Dealing requests and assist VP Compliance with performing periodic monitoring of the employees' personal trading activity.
- Market Abuse Monitoring: Review alerts generated by the automated Market Abuse Regulation (MAR) Monitoring tool for signs of potentially suspicious activity. Propose refinements/calibrations to the algorithm and, once approved, work with the Data team to implement them.
- Periodic Compliance Monitoring: Perform periodic (quarterly) compliance monitoring, carry out compliance testing and maintain appropriate records. Assist VP Compliance with the development of the entity's monitoring programme.
- AML: Maintain client files on the AML platform, review and resolve (or escalation) alerts, and partner with the Onboarding team to ensure that periodic due diligence is completed on schedule.
- Compliance Training: Assist with delivery of compliance training and maintenance of the online compliance training platform.
- SMCR: Administer annual Senior Managers and Certification Regime (SMCR) processes. Assist with maintaining the SMCR policy and operating procedures, and the annual F&P assessment process.
- Compliance Operations: Keep the Compliance Calendar up‐to‐date. Maintain Sharegain's employee compliance platform and ensure that records are appropriately maintained on the Compliance team's internal SharePoint site.
- Horizon Scanning: Stay abreast of key regulatory developments by reviewing the FCA's publications, industry thought leadership, and attending regulatory seminars/webinars. Escalate the relevant regulatory changes to VP Compliance and assist with implementation of the necessary changes to internal policies and controls.
Required Skills
- Strong academic record evidenced by an undergraduate degree (or above) in Law, Economics or another relevant discipline. STEM disciplines are highly regarded.
- 1‐2 years of FCA compliance experience in financial services (preferably wholesale). Understanding of the FCA rules and ability to navigate the FCA Handbook.
- Proactive A‐Z approach, taking responsibility for processes from start to finish and identifying areas for improvement.
- Comfortable using technology and AI to streamline processes.
- Excellent organisational skills and attention to detail.
- Strong communication skills, and ability to work independently and collaboratively with team members to share information and provide support.
Sharegain is an equal opportunity employer. Employees and contractors, as well as prospective employees and contractors, will all be treated equally and fairly. We are passionate in our belief that a diverse workforce is central to our success, and we are proud to reflect this within our recruiting processes.
Compliance Associate in London employer: Sharegain
At Sharegain, we pride ourselves on being an innovative fintech scale-up that fosters a dynamic and inclusive work culture. As a Compliance Associate, you'll benefit from a collaborative environment where your growth is supported through hands-on experience and exposure to various stakeholders. With a commitment to employee development and a mission to democratise capital markets, Sharegain offers a unique opportunity to make a meaningful impact while advancing your career in the heart of the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate in London
✨Tip Number 1
Network like a pro! Reach out to people in the compliance and fintech sectors on LinkedIn. A friendly message can go a long way, and you never know who might have the inside scoop on job openings.
✨Tip Number 2
Prepare for interviews by researching Sharegain and its compliance practices. Show us that you’re not just interested in any job, but specifically in how you can contribute to our mission of democratizing capital markets.
✨Tip Number 3
Practice your answers to common compliance interview questions. We want to see your thought process, so be ready to discuss how you’d handle specific compliance scenarios or challenges.
✨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 us you’re genuinely interested in being part of the Sharegain team.
We think you need these skills to ace Compliance Associate in London
Some tips for your application 🫡
Show Your Passion:When writing your application, let your enthusiasm for compliance and risk management shine through. We want to see that you're not just ticking boxes but genuinely excited about the role and our mission at Sharegain.
Tailor Your CV:Make sure your CV is tailored to highlight relevant experience in FCA compliance or financial services. We love seeing how your background aligns with what we do, so don’t be shy about showcasing your skills!
Be Detail-Oriented:Since this role requires a keen eye for detail, ensure your application is free from typos and errors. We appreciate precision, so take the time to proofread and present your best self.
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!
How to prepare for a job interview at Sharegain
✨Know Your Compliance Stuff
Make sure you brush up on FCA regulations and compliance principles before the interview. Familiarise yourself with the FCA Handbook and be ready to discuss how your knowledge can contribute to Sharegain's compliance programme.
✨Show Your Detail Orientation
As a Compliance Associate, attention to detail is key. Prepare examples from your past experiences where your diligence made a difference. This could be anything from catching an error in a report to improving a compliance process.
✨Demonstrate Your Proactivity
Sharegain values a proactive approach. Think of instances where you've taken the initiative to improve processes or solve problems. Be ready to explain how you identify areas for improvement and implement changes.
✨Engage with Stakeholders
Since the role involves working with various stakeholders, prepare to discuss how you’ve effectively communicated and collaborated with different teams in the past. Highlight your ability to build relationships and share information clearly.
