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Compliance Associate

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Compliance Associate

About our partner:
Our partner is looking for a Compliance Associate for its Compliance department to assist the Chief Compliance Officer (“CCO”) with the fulfilment of Compliance responsibilities concerning conduct of business, staff training, and overall management of the department’s Compliance Risk Assessment and Compliance Testing and Monitoring Programme. The Compliance Associate will be an integral member of the Compliance Management Team, reporting directly to the CCO.

This is a unique opportunity for an experienced Compliance professional to gain exposure to a wide range of governance and regulatory risk management requirements in a fast paced and complex operating environment.


  • Plan and execute the firm’s periodic Compliance risk assessment and the firm’s monitoring and testing program, in accordance with industry standards and expectations of management, auditors, and the regulator;
  • Identify and monitor new and emerging regulatory and conduct risks and impacts on the firm;
  • Liaise with business partners on new initiatives, products, and other matters, and consider their impacts on the Compliance risk assessment;
  • Maintain the Compliance policy and procedures framework, ensuring all artefacts are updated on a regular basis;
  • Develop compliance solutions that satisfy relevant regulations, with a focus on consumer protection and conduct of business, including best execution, product governance, appropriateness, intermediary risk, inducements and disclosure requirements;
  • Design queries and conduct analysis of large data sets to measure risk factors and controls;
  • Support the CCO in the identification, analysis and implementation of regulatory change and coordinating the provision of guidance and advisory from Compliance;
  • Support the CCO in managing Compliance’s responsibilities for relevant Committees, and other meetings, ensuring appropriate information is tabled in a timely manner, including compliance monitoring and testing results, breaches as required;
  • Assist the CCO in developing and maintaining a Compliance staff training programme;

  • 5+ years of relevant Compliance experience, preferably at a large investment service provider or other financial institution gained in either an Compliance, Risk or Audit function;
  • In-depth knowledge of regulatory framework of applicable regulation, including MiFID/R and local regulatory requirements. Knowledge of Market Abuse, EMIR, PRIIPS and SFTR is a plus;
  • Broad experience of assessing risks, developing policy, implementing systems and controls, drafting, procedures, devising and delivering training, and managing regulatory relations;
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions;
  • Willing to take on additional responsibility, potentially including expansion of the role to cover other Compliance areas;
  • Outstanding communication, analytical, and project management skills;
  • Ability to work under pressure, formulate and articulate solutions and defend assumptions;
  • University degree or higher qualification.