Risk & Compliance Associate

Stellenbeschreibung

Überblick

Aufgaben

• 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 categorisation.
• 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 & Conflicts Management:
  • Oversee confidential information handling, insider lists and information barriers.
  • Conduct first-level conflict analysis and maintain conflicts 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 Programme and FCA/non-financial returns.
  • Maintain compliance/AML risk assessments, risk registers and horizon scanning.
  • Support prudential/ICARA work and SM&CR processes.

Anforderungen

• Erfahrung:
  • 2-4 Jahre Erfahrung in Risk & Compliance in Financial Services, oder aus einer Anwaltskanzlei (Finanzdienstleistungsregulierung) oder Compliance-Beratung für Finanzdienstleistungen, vorzugsweise in Großbritannien.
• Erwünscht:
  • Kreuzborder-Regulierungs exposure, gebundene Agenten oder Passporting.
  • Erfahrung in Compliance-Assurance oder Rahmenwerk-Design.
• Attribute:
  • Kommerziell, pragmatisch und selbstbewusst gegenüber Front-Office-Stakeholdern.
  • Hoch organisiert und detailorientiert.
  • Kollaborativ und anpassungsfähig in einer schnelllebigen Umgebung.