ASSOCIATE COMPLIANCE OFFICER

London, South East England

Our client is very focused on individual competencies and soft skills and while experience in a compliance function is desirable, they will train on the more technical compliance-specific aspects of the role. They are looking to hire collaborative and forward thinking individuals to join their growing London operation. The position reports to the UK Chief Compliance Officer.

Required skills:

  • Excellent communication skills
  • A fast learner with the ability to unpick complex problems
  • Educated to at least degree level in a relevant subject e.g. Business, Finance, Law etc.
  • A hard worker who strives to meet deadlines
  • Drive and enthusiasm to learn and develop the business
  • Strong organisational and time-management skills
  • Process and detail oriented
  • Ability to work in a fast paced environment
  • Ability to understand and analyse data
  • Willingness to learn FCA and other rules and apply these to the business
  • Ambitious and a desire to succeed in financial services

Desirable:

  • Experience in a financial services compliance or legal function (2+ years)
  • Experience with or an understanding of MiFID
  • Previous experience working for or dealing with financial services regulators
  • KYC/AML/CTF and client on-boarding experience
  • Understanding of UK equities markets
  • Knowledge of Market Abuse Regulations
  • Technical and data skills