Compliance Associate

  • GBP35000 - GBP40000 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Robert Half Financial Services
  • 15 Nov 17 2017-11-15

My client is looking for a a Compliance Associate to join their team as soon as possible, the will be assisting the Head of Compliance with the trade surveillance and compliance monitoring. Salary - £35,000 - £40,000

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Responsibilities include, but are not limited too

  • Completing regular Compliance Monitoring Reviews on a timely basis under the agreed Compliance Monitoring Plan and on an ad hoc basis as necessary - including but not limited to electronic and voice communications, monitoring of policy attestations;
  • Working with the Head of Compliance in her capacity as MLRO to assist in day to day AML matters as well as assisting with the annual MLRO report;
  • Assist the Head of Compliance in responding to exchange queries, audits and investigations;
  • responsible for managing the annual roll-out of the Company's employee training programme.
  • Advising the broking desks on applicable Regulatory Rules and Requirements in order to ensure that they meet the requirements of regulatory and exchange bodies;
  • Maintaining and implementing necessary Policies, Procedures and Processes in accordance with the company's statutory and regulatory obligations and keeping them up to date;
  • International liaison with compliance resources in subsidiaries;
  • Responsible for certain regulatory and exchange reporting requirements Analyse transaction monitoring alerts in accordance with internal policy;
  • Escalate transactions for further review by the MLRO;
  • Assisting with the preparation of Management Information to Compliance Management;
  • Developing knowledge of trade surveillance and monitoring requirements, under the guidance and supervision of Compliance Management and keeping accurate records of all trade surveillance, transaction monitoring and escalations as required by Compliance Management.
  • Developing and maintaining a broad knowledge of the Firm's business and regulatory framework in which it operates;
  • Build good working relationships with Broking staff, Operational staff and Senior Management;



  • High level of accuracy and attention to detail;
  • effective oral and written communication;
  • IT literacy skills;
  • develops knowledge regarding the position of the Company in the industry and in the overall economic and regulatory environment;
  • develops knowledge of products and services in own areas of responsibility and relevant services used by customers;
  • Knowledge of UK regulatory environment in particular the FCA rule-book;
  • knowledge of financial services products and markets ; and
  • Knowledge of EMIR, MiFID II, MiFIR, and MAD regulatory requirements,


My client is a privately-owned brokerage set up to service the individual needs of institutional customers. The company is the incarnation of over 20 years' experience of managing operations within Investment banking. They offer Global access to the world's major exchanges and products. Our class leading clearing and brokerage collection services are constantly pushing the boundaries of accuracy and efficiency. My client are direct members of EUREX as well as being regulated by the FCA, they continue to both meet and exceed the standards expected within the financial sector.

Salary & Benefits

£35,000 - £40,000

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: