Risk & Compliance Associate

Job description

We are seeking a Risk & Compliance Associate to support our UK operations and ensure coordination with EU affiliates. The role is closely tied to deal activity and involves providing advice on regulatory matters, overseeing onboarding, monitoring conduct and conflicts of interest, and ensuring compliance with UK and EU regulatory requirements.

Tasks

The main tasks include:

• First point of contact for deal teams regarding MiFID II, MAR, COBS, and conduct of business issues
• Reviewing engagement letters, approving mandates, and monitoring KYC/AML
• Regulatory submissions regarding deal structuring, disclosures, conflicts of interest, and client categorization
• Ensuring compliance with internal controls and approval processes
• Reviewing transaction documents, marketing materials, and draft legal documents for regulatory risks
• Monitoring of cross-border activity, market abuse risk, financial advertising, and conflicts of interest
• Safeguarding confidential information, including maintaining confidentiality lists and information barriers
• Maintenance of compliance and AML risk assessments, risk registers, and horizon scanning
• Support for prudential/ICARA work and SM&CR processes

Requirements

The requirements include:

• 2–4 years of experience in compliance, risk, or regulatory consulting in the financial sector, law (financial regulation), or consulting (financial compliance)
• Experience with onboarding, engagement letters, approvals, and transaction support
• Knowledge of MiFID II, MAR, FCA regulations, GDPR, and AML/KYC
• A solid understanding of financial instruments and strong knowledge of securitization structures (ABS, MBS, CLOs, credit-linked transactions)

Preferred:

• Cross-border regulatory experience, tied agents, or passporting
• Experience in compliance security or framework design

Attributes

The required attributes include:

• Commercial, pragmatic, and confident when interacting with front-office staff
• Very organized and detail-oriented
• Collaboration and adaptability in a fast-paced environment