Risk & Compliance Associate

Risk & Compliance Associate

About the role

We are looking for an R&C Associate to oversee daily compliance monitoring for our UK operations and support coordination with EU subsidiaries. The role is closely tied to deal activities, provides advice on regulatory matters, monitors onboarding processes, oversees conduct and conflicts of interest, and ensures compliance with UK and EU regulatory requirements.

Key aspects of the role

The role involves the following tasks:

• 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

Engagement Monitoring

The role also includes overseeing:

• 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

The role also includes managing:

• Confidential information in accordance with information barriers
• Compliance/AML Risk Assessments, Risk Registers, and Horizon Scanning
• Support for Prudential/ICARA work and SM&CR processes

Requirements

The role requires:

Skills and experience

Essential:

• 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:

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

Features

The role requires:

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