Risk & Compliance Associate

Job description

Tasks

• Advising and supporting deal teams on compliance and regulatory issues throughout the transaction cycle
• Review of engagement letter and internal policy coordination (scope, disclosures, regulatory status, cross-border issues)
• Management and monitoring of mandates (VYCA/AMA) and support with regulated mandate protocols
• Compliance advice on new business initiatives (M&A, acquisitions, structured finance, asset securitization, private equity deals)

Main tasks

Advisory & Transactional Compliance

• Act as the first point of contact for deal teams on compliance and regulatory issues throughout the transaction cycle
• Review engagement letter and internal policy alignment (scope, disclosures, regulatory status, cross-border issues)
• Manage and monitor mandates (VYCA/AMA) and assist with regulated mandate protocols
• Provide compliance advice on new business initiatives (M&A, acquisitions, structured finance, asset securitization, private equity deals)

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 triggers, e.g.
• Cross-border advisory activities (ES/UK/France, USA & net income / passporting effects)
• Potential inside information or market abuse (UK/EU MAR)

Support in the identification and evaluation of insider information

• Support in the identification and assessment of inside information in accordance with UK/EU MAR
• Manage and update insider lists
• Monitor and inform relevant 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

• Coordination with EU locations to adapt advisory guidelines, regulatory approvals and cross-border marketing standards
• Check documents and advertising materials for consistency with EU regulatory requirements (e.g. MiFID II, MiCAR standards)
• Support with periodic business audits (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-based employees

Regulatory and compliance operations

• Assist in the execution of the compliance monitoring and testing program, including deal reviews, supervisory reviews and thematic reviews
• Liaising with the FCA and other regulators and assisting the finance department with financial regulatory returns, including prudential returns
• Support in the preparation of internal MI and risk, compliance and AML reports for senior management and governance committees
• Assist in maintaining and updating key compliance-related risk assessments, including the risk register, compliance and financial crime risk assessments
• Regulatory horizon