Compliance Associate - Surveillance & Controls

Intesa Sanpaolo; Greater London; On-site; GBP 45,000 - 65,000; Full time

Job summary

A leading banking group is seeking a Compliance Monitoring Officer to support their London Branch. This role involves executing and enhancing the Compliance Monitoring Plan while conducting thematic reviews and assessments. Candidates should possess a degree in relevant fields and a minimum of 2 years' compliance monitoring experience, with a strong understanding of UK regulatory frameworks. The position offers the opportunity to contribute to significant compliance efforts in a dynamic environment.

Qualifications

• Minimum of 2 years experience conducting compliance monitoring reviews.
• Strong understanding of FCA rulebooks, COBS, MAR, and SYSC.

Responsibilities

• Assist in delivering and improving the Compliance Monitoring Plan.
• Conduct thematic reviews and outcome-based assessments.
• Prepare monitoring reports for senior management.

Skills

Compliance monitoring experience

Understanding of UK regulatory framework

Knowledge of asset classes

Fluent in a European language

Education

Degree in Law, accountancy, economics, or business

Relevant professional qualifications (CISI/ICA)

Tools

Watch list tools

Job description

This role supports the activities of the Intesa Sanpaolo London Branch Regulatory Compliance Department and involves a variety of tasks, including:

• Assist in delivering, executing, and continuously improving the firm’s Compliance Monitoring Plan (CMP).
• Conduct thematic reviews, sample testing, and outcome-based assessments across business units.
• Track and verify the implementation of remediation actions, ensuring timely resolution and effective controls.
• Prepare clear and concise monitoring reports for senior management and relevant committees.
• Ensure monitoring activities align with FCA expectations, particularly SYSC, COBS, MAR, SMCR, and conduct risk standards.
• Escalate significant risks, breaches, or emerging trends in accordance with internal governance.
• Assess the effectiveness of internal controls and regulatory frameworks, identifying weaknesses and providing clear recommendations.
• Assist in the maintenance of Watch Lists
• eComms surveillance and controls around flows of inside information within the Bank.
• Provide support on ad hoc tasks and projects as requested
• Develop and enhance policies and procedures relating to controls and monitoring liaising with other areas of the business, as necessary.

Required Experience

Minimum of 2 years experience conducting compliance monitoring reviews and surveillance.

Required Qualifications, Skills and Knowledge

• Degree educated (Law, accountancy, economics, business) or relevant professional qualifications (CISI/ICA).
• Strong understanding of the UK regulatory framework, particularly FCA rulebooks namely COBS, MAR and SYSC, as well as familiarity with European regulations, such as MiFID and EMIR.
• Experience with managing MNPI and using watch list tools.
• Knowledge of one or more asset classes: fixed income, equities, FX, or equity derivatives
• Fluent in a European language is advantageous.

About us

We are the leading banking group in Italy and one of the Top Tier in Europe. Join us and be part of our successful story!

With over 20 million customers in Italy and abroad, we are a true engine of sustainable growth, with a strong commitment to the environment and a tangible impact on society. People are our driving force. We take care of them and foster an inclusive culture where everyone feels valued and empowered.

Join an international and innovative Group. Don't wait for the future, choose it!