Regulatory Compliance Associate - 12month FTC

British International Investment; Greater London; On-site; GBP 45,000 - 55,000; Full time

Job summary

An established industry player is seeking a Regulatory Compliance Associate to enhance its compliance framework. This role is pivotal in ensuring adherence to regulatory commitments while supporting a culture of compliance. The ideal candidate will have a strong background in regulatory compliance, particularly within the financial sector. You'll be part of a dynamic team focused on addressing compliance matters, drafting policies, and delivering training. This position offers a unique opportunity to grow your career in a supportive environment that values collaboration and innovation.

Qualifications

• 3 to 5+ years’ experience in Regulatory Compliance in a UK-regulated financial institution.
• Understanding of FCA compliance requirements for UK-regulated financial institutions.

Responsibilities

• Assist in supporting the handling of compliance matters and managing the Compliance inbox.
• Undertake monitoring of selected areas in line with a compliance monitoring programme.

Skills

Regulatory Compliance

Analytical Skills

Problem-Solving

Attention to Detail

Communication Skills

Education

University degree in Law/Finance

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Job description

Regulatory Compliance Associate - 12month FTC

Join to apply for the Regulatory Compliance Associate - 12month FTC role at British International Investment

Regulatory Compliance Associate - 12month FTC

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Join to apply for the Regulatory Compliance Associate - 12month FTC role at British International Investment

British International Investment is the UK’s development finance institution, owned by the UK Government. With a mission to solve the biggest global development challenges, we aim to create a virtuous circle of investment and impact. Your contribution will be essential.

It won’t be easy: we do the hardest work in the most complex markets. Be prepared to test your skills, get creative and say your piece as you take on high-profile work as part of a diverse team of exceptionally smart, passionate people.

In return, you can take your career to all-new places in a culture that rewards curiosity and collaboration and balances high performance with wellbeing.

BII at a glance

Over 75 years supporting sustainable business growth in developing and emerging markets

£8.8 billion in net assets

1,400+ businesses invested in

950,000 workers in the businesses we support

£9 billion in new investments planned in the next 5 years

650+ people in our diverse global team

Team and role overview

BII is regulated by the FCA as a MiFID exempt Venture Capital firm. It conducts business on its own account and does not hold client assets. The Compliance team is comprised of four different disciplines, Regulatory Compliance, Financial Crime Compliance, Data Protection Office and Information and Complaints Office. The Compliance team plays an important role in reinforcing BII’s reputation as a responsible investor, ensuring BII meets its regulatory commitments in the UK and overseas, and having systems and controls in place to counter compliance, financial crime, and data protection risks.

The Compliance Team is seeking a dedicated Regulatory Compliance Associate to join our team. The ideal candidate will preferably have a background in compliance, with specific experience in assisting with employee compliance requests. This role will play a critical part in ensuring our organisation maintains a culture of compliance and adheres to all relevant regulations and internal policies.

Responsibilities

• Assist in supporting the handling of compliance matters and queries and managing the Compliance inbox.
• Ability to understand when and where conflicts of interest may arise in relation to queries from the business, whether this relates to market abuse, transactions and contractual conflicts, or employee requests and be able to articulate clear responses.
• Undertake monitoring of selected areas in line with a compliance monitoring programme and assist with the ongoing enhancement of that monitoring.
• Dealing with employee compliance requests and queries associated with Personal Account Dealing, Gifts, Hospitality & Entertainment, Outside Business Interests, and Annual Compliance Declaration. This will be through the MyCompliance system & ad-hoc queries through the inbox
• Assist in the drafting and updating of firm- and group-wide policies and procedures, as well as delivering compliance training to the business.
• Support the development of the investment teams’ knowledge of compliance requirements through designing and, as appropriate, delivering tailored training and updates at team meetings.
• Assist in preparing MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings.
• Strong interest in Compliance systems, system engagement and development. Liaison with IT, other compliance verticals and stakeholders.

The candidate

Background

• 3 to 5+ years’ experience in Regulatory Compliance in a UK-regulated financial institution, preferably in private equity, asset management or banking;
• Understanding of the management of conflicts of interest and market abuse controls
• Knowledge of FCA compliance requirements for UK-regulated financial institutions
• Experience in working on projects; including remediation and data entry
• Ability to undertake reconciliation projects and understand the need for confidentiality and attention to detail.
• Excellent analytical and problem-solving skills with high attention to detail.
• Ability to work with all Microsoft systems, including Excel, Word and PowerPoint
• University degree in Law/Finance or a relevant discipline or relevant experience gained in industry.

Personal Skills

• Systematic approach to work with an attention to detail;
• Clear ability to look and plan ahead;
• Proactively identify and address issues;
• Capability to identify and assess strategic implications of issues;
• Proficient in managing diverse views and developing a consensus around standards;
• Demonstrated ability to independently manage and prioritise a busy and diverse workload with a range of deliverables for a variety of stakeholders;
• Confident and articulate, with excellent written and verbal communication skills;
• Strong team player who enjoys working as part of a close team and willing to collaborate and support the team on a variety of different initiatives and tasks;
• Highly motivated and results driven;
• Sound research and analytical skills;
• Good report writing ability;

It is essential that the candidate is highly flexible, proactive, happy to work in a close-knit team and to get involved in all aspects of office activity.

Our Cultural Values

We look for team members whose values and aspirations demonstrably align with ours. At our best, at BII we are:

• Impact-led and commercially rigorous
• Tenacious in the face of challenges
• Collaborative and caring

BII is committed to diversity and inclusion and welcomes all applicants regardless of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, sexual orientation or educational background.

Please provide a cover letter with your application

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

• Industries

  Financial Services, Investment Management, and Venture Capital and Private Equity Principals

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