Compliance Associate - Trade Surveillance

Black Swan Group; Greater London; On-site; GBP 40,000 - 55,000; Full time

Job summary

An institutional asset manager in London seeks a Compliance Associate to enhance compliance programmes. Responsibilities include trade surveillance, regulatory filings, and compliance training. The ideal applicant will have a Bachelor's in a relevant field and 1-3 years of experience with Market Abuse Regulation. Strong knowledge of UK financial regulations and exceptional analytical skills are essential. This role offers the chance to contribute to a firm committed to ethical practices and compliance standards.

Qualifications

• 1-3 years of experience covering Market Abuse Regulation (MAR).
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent analytical and problem-solving skills.

Responsibilities

• Conduct trade surveillance and monitor for market abuse.
• Perform thematic reviews and testing of compliance policies.
• Develop and maintain compliance policies and procedures.
• Ensure regulatory filings are completed accurately.
• Provide compliance training for staff.
• Assist in client onboarding processes, including AML and KYC.
• Support ad hoc compliance project work.

Skills

Trade surveillance

Market abuse monitoring

Analytical skills

Communication skills

Attention to detail

Education

Bachelor's degree in Finance, Economics, Law, or related field

Job description

Compliance Associate (Trade Surveillance) – Asset Management - London

Company Overview:

Our client is an institutional asset manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Associate to join their Compliance team and contribute to the success and growth of the firm.

Role Overview:

As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for a range of compliance tasks with a strong focus on trade surveillance and market abuse monitoring. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.

Key Responsibilities:

• Trade surveillance and market abuse monitoring
• Thematic reviews and testing
• Develop and maintain compliance policies and procedures
• Regulatory filing
• Compliance training
• Client onboarding (AML and KYC)
• Ad hoc project work

Requirements:

• Bachelor's degree in Finance, Economics, Law, or a related field.
• Prior experience (1-3 years) covering MAR (Market Abuse Regulation).
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent analytical and problem-solving skills with high attention to detail.
• Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.

If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.

For more details, please contact Jon Pettet at [e-mail]