Risk & Compliance Associate

Job description: Risk & Compliance Associate

Tasks

• Advisory & Transactional Compliance
  • Act as first point of contact for deal teams on compliance and regulatory issues throughout the transaction cycle (e.g. interpretation of MiFID II, CLOBs, conduct of business obligations).
  • Review engagement letters and internal policy compliance (scope, disclosures, regulatory status, cross-border issues).
  • Monitor mandate onboarding (VYCA/M&A) and assist with regulated mandate logs.
  • Perform compliance reviews on new business applications (e.g. MiFID II, SM&CR, suspicious activity reports, client categorization, best execution disclosures and regulatory risk).
• Engagement monitoring
  • Ensure that all mandates comply with internal control procedures (internal approvals, engagement documentation, KYC documentation, compliance guidelines).
  • Review transaction documents (placement/subscription agreements, investor materials, marketing content, legal outlines) to identify regulatory or conduct risks.
  • Monitor risk approvals, e.g:
    • cross-border advisory activities (ES/UK interface, tied agents/passporting effects).
    • potential inside information or market abuse (UK/EU MAR).
  • Support in the identification and assessment of inside information in accordance with UK/EU MAR.
  • Manage and maintain insider lists.
  • Monitor and inform internal risk information barriers, restricted access controls and behavioral risk assessments in deal contexts.
• Conflict management
  • Conduct initial conflict analysis and escalate material sensitive issues to the Head of Risk & Compliance.
  • Support in maintaining the conflict register and internal conflict approval procedures.
• Group support, EU coordination and cross-border compliance
  • Coordinates with EU locations to align engagement governance, regulatory approvals and cross-border marketing standards.
  • Review documents and outreach materials for consistency with EU regulatory requirements (e.g. MiFID II, EMIR).
  • Assist with periodic business reviews (sampling, file audits) of regulated activities in the UK/EU.
  • Assistance with the design and delivery of compliance training or briefings tailored to deal teams or EU-bound agents.
  • Support in maintaining the internal trading policy.
• Regulatory and compliance operations
  • Assist in the execution of the compliance monitoring and testing program, including deal reviews, supervisory reviews and thematic reviews.
  • Assist in the preparation of regulatory reports and applications.
  • Support in the monitoring of capital and liquidity positions in accordance with applicable prudential requirements and support in the implementation of the ICARA process and documentation.
  • Track and report compliance exceptions, policy deviations and late KYC onboarding.

Requirements

• Required skills
  • Proven experience in handling engagement letters, mandate onboarding, internal approvals and pipeline tracking.