Risk & Compliance Associate

Job description

We are seeking a Risk & Compliance Associate to support our UK operations with day-to-day compliance monitoring and to coordinate with EU affiliates. The role is closely tied to deal activities, provides advice on regulatory matters, oversees onboarding, monitors conduct and conflicts of interest, and ensures compliance with UK and EU regulatory requirements.

Focus of activities

The main tasks include:

• Initial contact for deal teams regarding MiFID II, MAR, COBS, and conduct-related inquiries
• Reviewing engagement letters, approving mandates, and monitoring KYC/AML
• Regulatory submissions regarding deal structuring, disclosures, conflicts of interest, and client categorization
• 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
• Management of Confidential Information, Incidents, 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 in-depth 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

Features

The required qualifications include:

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