Risk & Compliance Associate

Job description

We are looking for a Risk & Compliance Associate to ensure daily compliance monitoring for our UK operations and to support coordination with our EU subsidiaries.

Tasks

The main tasks include:

• First point of contact for deal teams regarding questions about MiFID II, MAR, COBS, and conduct of business guidelines
• Reviewing engagement letters, approving mandates, and monitoring KYC/AML
• Regulatory filings related to 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 activities, market abuse risks, financial advertisements, and conflicts of interest
• Handling of Confidential Information Regarding Non-Customer Lists and Information Barriers

Requirements

The requirements are:

• 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

Attributes

The required attributes are:

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

We offer

Unfortunately, no information about the offer is available.