Risk & Compliance Associate

Job description

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

Focus of activities

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

Engagement Monitoring

The monitoring of exposures includes:

• 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 risks, financial advertising, and conflicts of interest

Information and Conflicts of Interest

The management of information and conflicts of interest includes:

• Ensuring that confidential information is not included in unauthorized lists and that information barriers are maintained

Requirements

The requirements for this position 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 strong knowledge of securitization structures (ABS, MBS, CLOs, credit-linked transactions)

Desirable qualities

The desired qualifications for this position are:

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

Attributes

The required qualifications for this position are:

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