Risk & Compliance Associate

Job description

Overview

Tasks

• Advisory & Transactions:
  • First point of contact for deal teams on MiFID II, MAR, COBS, and conduct queries.
  • Review engagement letters, approve mandates, and oversee KYC/AML.
  • Provide regulatory input on deal structuring, disclosures, conflicts, and client categorization.
• Engagement Oversight:
  • Ensure adherence to internal controls and approval processes.
  • Review transaction documents, marketing materials, and legal drafts for regulatory risks.
  • Monitor cross-border activity, market abuse risk, financial promotions, and conflicts.
• Information & Conflict Management:
  • Oversee confidential information handling, insider lists, and information barriers.
  • Conduct first-level conflict analysis and maintain conflict registers.
• EU Coordination & Group Support:
  • Align UK/EU engagement standards and review cross-border materials.
  • Support periodic file reviews and tailored compliance training.
• Compliance Operations:
  • Contribute to the Compliance Monitoring Program and FCA/non-financial returns.
  • Maintain compliance/AML risk assessments, risk registers, and horizon scanning.
  • Support prudential/ICARA work and SM&CR processes.

Requirements

• Experience:
  • 2-4 years of experience in risk and compliance in financial services, or from a law firm (financial services regulation) or compliance consulting for financial services, preferably in the UK.
• Desired:
  • Cross-border regulatory exposure, tied agents, or passporting.
  • Experience in compliance assurance or framework design.
• Attributes:
  • Commercial, pragmatic, and confident when dealing with front-office stakeholders.
  • Highly organized and detail-oriented.
  • Collaborative and adaptable in a fast-paced environment.