Compliance Associate

  • Location

    City of London, London

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £35000 - £40000 per annum

  • Contact:

    Scott Duerden

  • Contact email:


  • Job ref:


  • Published:

    7 months ago

Our client, a Financial Services power house are recruiting a dynamic, post-entry level compliance professional to play a key role in the Advisory Compliance function, monitoring regulatory developments and advising the business on Compliance matters.

General Duties will include;

  • Support the Supervisor, Advisory (Investments) in monitoring key regulatory developments and offering advice and guidance to other units as required
  • Assist the Supervisor in the implementation of new regulations and other projects (e.g. SMCR)
  • Assist the Supervisor in analysis and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business
  • Perform ongoing tasks such as reviewing and signing off on financial promotions
  • Perform "deep dive" complex ad hoc monitoring tasks e.g. review of outsourcing arrangements
  • Assist with investigating and resolving ad hoc queries from regulators, exchanges and other areas of the business
  • Assist in the administration of compliance policies and procedures
  • Conducting Compliance Inductions to new employees

To be considered for this position ideal candidates must have the following experience, skills and qualifications;

  • Strong educational background
  • At least two years' relevant experience
  • Good knowledge of the following products and markets - Ags, Dairy, Energy, LME, FX and Precious Metals Exchanges - ICE, LME, Eurex and Euronext
    Strong analytical and communication skills (written and oral)
  • Effective planning, organisation and time management skills
  • Ability to work extremely accurately, thoroughly, reliably and with strong attention to detail

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