Compliance Monitoring Associate

Trading212; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A financial services company in London is seeking a Compliance Monitoring Specialist to manage compliance tests and ensure adherence to FCA regulations. The ideal candidate will have 2-3 years of experience in compliance monitoring, excellent interpersonal skills, and strong report writing abilities. This position offers a competitive remuneration package and opportunities for career growth in a dynamic environment.

Benefits

Growth opportunities

Impactful work

Collaborative team environment

Adaptable working conditions

Generous remuneration package

Qualifications

• 2-3 years of compliance monitoring experience within financial services.
• Good interpersonal skills for interaction at all levels.
• Ability to manage multiple projects and respond to incidents.

Responsibilities

• Conduct regular compliance monitoring as per the Compliance Monitoring Plan.
• Manage the compliance plan and ensure timely completion of tests.
• Document findings and recommended actions for management review.
• Support the compliance team with various tasks as needed.

Skills

Compliance monitoring experience

Understanding of FCA rules

Interpersonal skills

Project management ability

Strong report writing skills

Attention to detail

Troubleshooting skills

Service-oriented attitude

Job description

Our mission is to enable everyone to build wealth

We reinvent how trading and investing work by creating exceptional products people love. Fostering a culture of excellence and high velocity is the key to our success.

Over the past few years, our client base has grown 20 times to over 2 million, and client assets have grown over 50 times to over €4 billion.

What you’ll do

• Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
• Identify any gaps or weaknesses in the plan and propose remedial actions
• Day to day management of the plan, ensuring tests are completed on time and that progress is made against the overall plan
• Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process
• Report and discuss all findings with appropriate management and following up to ensure remediation
• Document the findings, recommended actions and management responses together with agreed timescales and action owners
• Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Senior Compliance Manager and where relevant the Head of Compliance
• Track business unit actions to mitigate risk and support continuous improvement across the business
• Support the wider compliance team with ad hoc tasks as required

What you need to have

• 2 – 3 years compliance monitoring experience within financial service.
• Broad understanding of the FCA rules and regulations
• Good interpersonal skills - able to interact with people at all levels both face to face, on the telephone and in writing
• Ability to work on multiple projects simultaneously and responding to immediate incidents
• Ability to assimilate complex details quickly and present clearly to the business or in a report
• Strong report writing skills, as well as attention to detail and accuracy
• A calm and methodical approach to troubleshooting issues in a pressured environment
• Service-orientated/ self-starter attitude

What we offer

• Challenges that will help you grow and realise your potential really fast
• Opportunity to make a big impact - you will build innovative services used by millions of investors to build wealth
• Work with smart, spirited, helpful, high-performing colleagues with a common goal
• An environment where nothing is set in stone
• Appreciation for your talent and ideas
• Generous remuneration package including annual bonuses

Are you ready to accelerate your career with us? We'd love to hear from you!

We thank all applicants, but only candidates selected for an interview will be contacted.

All personal data of applicants is protected by the law and will be treated with strict confidentiality.