Compliance Associate

As a Compliance Associate, the work centres on periodic Compliance Monitoring: Perform periodic (quarterly) compliance monitoring, carry out compliance testing and maintain appropriate records. Assist VP Compliance with the dev. It would suit someone who can bring strong professional approach to the role.

Who the work supports

Join our fast-growing fintech scale-up to assist with administration of the compliance programme of our FCA-regulated entity, Sharegain Ltd. We call it SLaaS: Securities Lending as a Service.

How support shows up

Periodic Compliance Monitoring: Perform periodic (quarterly) compliance monitoring, carry out compliance testing and maintain appropriate records. Assist VP Compliance with the dev. Personal Account (PA) Dealing: Review PA Dealing requests and assist VP Compliance with performing periodic monitoring of the employees’ personal trading activity. AML: Maintain client files on the AML platform, review and resolve (or escalate) alerts, and partner with the Onboarding team to ensure that periodic due diligence is completed on.

The approach that fits

Strong professional approach.

What needs to be in place

• 1-2 years of FCA compliance experience in financial services (preferably wholesale). Understanding of the FCA rules and ability to navigate the FCA Handbook.
• Strong academic record evidenced by an undergraduate degree (or above) in Law, Economics or another relevant discipline. STEM disciplines are highly regarded.
• Comfortable using technology and AI to streamline processes.

Job details

• Assist with delivery of compliance training and maintenance of the online compliance training platform.
• Compliance Operations: Keep the Compliance Calendar up-to-date. Maintain Sharegain’s employee compliance platform and ensure that records are appropriately maintained on the Compli.
• SMCR: Administer annual Senior Managers and Certification Regime (SMCR) processes. Assist with maintaining the SMCR policy and operating procedures, and the annual F&P assessment p.
• Additional detail: Training or development support may be provided.