Risk & Compliance Associate

Risk & Compliance Associate

About the role

We are seeking an R&C Associate to ensure daily compliance monitoring for our UK operations and to support coordination with EU subsidiaries. The role is closely tied to deal activities, providing advice on regulatory matters, overseeing onboarding processes, monitoring conduct and conflicts of interest, and ensuring compliance with UK/EU regulatory requirements. Ideal for candidates with 2–4 years of experience in risk and compliance within the financial sector, a law firm (financial regulation), or a financial services compliance consultancy, preferably in the United Kingdom.

Relevant tasks

• Primary point of 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.

Engagement Monitoring

• Ensuring compliance with internal controls and approval processes.
• Reviewing transaction documents, marketing materials, and draft legal documents for regulatory risks.
• Monitoring of cross-border activities, market abuse risks, financial advertisements, and conflicts of interest.

Information and Conflicts of Interest

• Handling of confidential information, including insider 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

Skills and Experience

• 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).

Desirable attributes

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

Features

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