Compliance Associate

  • Location:

    City of London, London

  • Sector:


  • Job type:


  • Salary:

    £35000 - £45000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:


  • Published:

    12 months ago

  • Expiry date:


  • Start date:


A Prestigious Boutique Investment bank is looking for someone to join their compliance team here in London. They are looking for someone specifically to join in a compliance monitoring and surveillance role. This is a great opportunity to work in a broad compliance role whilst still gaining specialist expertise to help develop your career.

Summary of main tasks and responsibilities

Monitoring and surveillance responsibilities are rotated amongst the team and consequently you will be required to assist with such tasks as directed by the Compliance Monitoring and Surveillance Officer. The list below is not exhaustive:

  • Maintain the CMP, updating the status as required of the tasks therein
  • Execute such monitoring and surveillance tasks, detailed within the CMP, as required including but not limited to:
  • Evaluate alerts from automated surveillance systems for potential market abuse and best execution
  • Escalate (as appropriate) events of concern including; potential breaches of internal policies and procedures and possible acts of market abuse
  • Raise STORs (including for peer review) as appropriate
  • Respond to broker questionnaires and other ad hoc client enquiries
  • Field Panel and Exchange Enquiries and maintain a log thereof
  • Keep a log and process long and short market maker exemptions provided by the FCA
  • Maintain and manage the internal restricted list, preparing new restricted notifications as appropriate
  • Work with large CMP data sets to create user friendly management information to feed into Board Reports etc.,
  • Assist with responding to regulatory enquiries
  • Assist with project work as required
  • Assist the team to actively promote and maintain the compliance culture within the organisation
  • Trade and Transaction Reporting; monitoring and responding to enquiries originating both internally and externally

Candidate will ideally have some or all the following experience

  • Experience of handling alerts from a market abuse surveillance system and drafting STORs would be particularly advantageous alternatively Compliance Monitoring and testing experience
  • A good understanding of Trade and Transaction Reporting rules would be advantageous
  • Strong and current working knowledge of FCA regulations and requirements relevant to an integrated sell-side organisation focussed on equities
  • Advanced knowledge of Microsoft Word, Excel and PowerPoint

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