Compliance Associate Advisory

  • Location

    London, England

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £35000.00 - £40000 per annum

  • Contact:

    Bethany Singer

  • Contact email:


  • Job ref:


  • Published:

    6 months ago

General Duties:

* 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

Knowledge and Experience:

* Strong educational background
* At least two years' relevant experience
* Good knowledge of products Ags, Dairy, Energy, LME, FX and Precious Metals Exchanges - ICE, LME, Eurex and Euronext

Qualification and Skills:

* 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
* Commercial awareness

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