At a Glance
- Tasks: Support compliance initiatives and improve the firm's overall compliance programme.
- Company: Join a Fortune 100 company with a global presence and innovative culture.
- Benefits: Gain valuable experience, competitive salary, and opportunities for professional growth.
- Other info: Exciting role with potential for career progression in a fast-paced environment.
- Why this job: Make a real impact in compliance while working with a dynamic team.
- Qualifications: Strong organisational skills and a keen interest in compliance processes.
The predicted salary is between 40000 - 50000 € per year.
Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world‑class products and services to all types of investors.
Job purpose: To support the continuing development of this highly successful business. Reports directly to the Director, Central Compliance. Provides support across all areas of Central Compliance; trade surveillance, communications surveillance, policies, training, Control Room, Employee Compliance, Exchange Enquiries & Entity Servicing. The aim of the role is to help the establishment and roll out of the function to improve the Firm’s overall Compliance programme. This will involve project work, ensuring synergies between different legal entities, efficiencies in processes, vendor interactions, risk mapping, creating appropriate documentation and other tasks relevant to achieving the aims of the function.
Responsibilities:
- Helping prepare meetings, agendas and minutes for functions within the remit of Central Compliance.
- Assisting in the relationship management with vendors.
- Preparing and managing governance documentation including management information, procedures, terms of reference etc. to ensure they’re always up to date, agreed, and fit for purpose.
- Helping collate and organize training schedules and tracking.
- Mapping and coordinating policies across legal entities and ensuring consistent standards. This will involve helping to draft/edit policies.
- Helping establish controls around managing inside information, including wall crossing, deal logging and restriction strategy.
- Helping coordinate the employee compliance programme, including controls around personal.
Compliance Supervisor - 9 months FTC in London employer: UNAVAILABLE
At StoneX Group, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters innovation and collaboration. With a strong focus on employee growth, our Compliance Supervisor role provides unique opportunities for professional development within a Fortune 100 company, supported by a diverse team across multiple global offices. Join us in a vibrant environment where your contributions directly impact our compliance programme and the overall success of our business.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Supervisor - 9 months FTC in London
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field on LinkedIn or at industry events. We all know that sometimes it’s not just what you know, but who you know that can help you land that Compliance Supervisor role.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. We suggest you come armed with questions that show your interest in their processes and how you can contribute to improving their Compliance programme.
✨Tip Number 3
Showcase your skills! During interviews, highlight your experience with trade surveillance and policy management. We want to see how you can bring value to the team and help streamline their operations.
✨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, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Supervisor - 9 months FTC in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Supervisor role. Highlight relevant experience and skills that match the job description. We want to see how you can contribute to our Central Compliance team!
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 your background makes you a great fit for us. Keep it concise but impactful!
Showcase Your Attention to Detail:In compliance, attention to detail is key. Make sure your application is free from typos and errors. We appreciate candidates who take the time to present their best work!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at UNAVAILABLE
✨Know Your Compliance Stuff
Make sure you brush up on compliance regulations and practices relevant to the role. Familiarise yourself with trade surveillance, communications surveillance, and the importance of policies in maintaining compliance. This will show that you're not just interested in the job, but that you understand its core responsibilities.
✨Showcase Your Project Management Skills
Since the role involves project work, be ready to discuss your experience in managing projects. Prepare examples where you've successfully coordinated tasks, managed timelines, or improved processes. This will demonstrate your ability to contribute to the development of the compliance programme effectively.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would handle issues like inside information management or vendor relationships. Practising these scenarios can help you articulate your thought process clearly during the interview.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions that show your interest in the company and the role. Inquire about the current challenges the compliance team faces or how they measure success in their compliance programme. This not only shows your enthusiasm but also helps you gauge if the role is the right fit for you.
