Boutique Investment Bank - Compliance Monitoring Associate

Boutique Investment Bank - Compliance Monitoring Associate

London, Hybrid

We are working with a dynamic boutique investment bank seeking a meticulous and driven Compliance Monitoring Associate to join a growing team. The Compliance Monitoring Associate will play a crucial role in ensuring that relevant regulations and internal policies are adhered to. This role involves conducting regular monitoring activities, assessing compliance risks, and implementing appropriate controls to mitigate these risks. The ideal candidate will have a strong understanding of financial regulations, excellent analytical skills, and a proactive approach to identifying and addressing compliance issues.

Responsibilities:

• Conduct regular monitoring activities to assess compliance with regulatory requirements and internal policies.
• Identify and analyse compliance risks across various business areas and products.
• Develop and implement monitoring plans and testing programs to assess the effectiveness of compliance controls.
• Investigate and resolve compliance issues in a timely manner, escalating as necessary.
• Keep abreast of regulatory developments and industry best practices to ensure that compliance programs remain up-to-date.
• Provide guidance and training to staff on compliance matters.
• Prepare reports and presentations for senior management and regulatory authorities.

Requirements:

• Bachelor's degree in finance, business, or a related field.
• Experience in compliance monitoring, consultancy or from the regulator
• Strong knowledge of financial regulations, such as MiFID II, MAR, and AML.
• Excellent analytical and problem-solving skills.
• Ability to communicate effectively and build strong working relationships with stakeholders.
• Proactive attitude with a strong sense of integrity and attention to detail.