Compliance Associate

The Role

How You’ll Help Take Us There

• Support the Monitoring and Central Compliance function across EMEA and APAC
• Assist in the development, maintenance, and delivery of the Annual Compliance Monitoring Programme (CMP), including routine and thematic reviews
• Conduct and coordinate risk‑based monitoring reviews to assess compliance with regulatory requirements and internal policies
• Track and manage monitoring findings and action items to ensure timely remediation
• Advise the business on control framework enhancements aligned with regulatory expectations
• Maintain monitoring frameworks, documentation, management information, and reporting templates
• Support oversight of the SMCR framework and ongoing employee registrations, ensuring accurate record‑keeping
• Maintain calendars and delivery timelines for monitoring and central compliance activities
• Assist with regulatory change management by identifying, assessing, and communicating relevant regulatory developments
• Support the annual compliance risk assessment to ensure alignment with the scale and complexity of the business
• Contribute to the development, delivery, and tracking of compliance training across EMEA and APAC
• Maintain compliance records including breach logs, personal account dealing notifications, and related documentation
• Support surveillance activities, including communications and trade surveillance, to help detect potential market abuse
• Prepare management information and reporting for senior management, committees, and boards
• Provide regular updates to senior compliance leadership and escalate issues where appropriate

What We’re Looking For

• 2+ years’ experience in financial services compliance, risk, or audit, ideally within regulated trading platforms, market infrastructure, banking, capital markets, or post‑trade environments
• Bachelor's degree in Legal or Compliance preferred; Engineering, Data or Maths highly regarded
• Strong understanding of UK and/or EU financial services regulation; exposure to US regulation is a plus
• Experience working within small, collaborative teams
• Fixed income market experience preferred but not required
• Excellent written and verbal communication skills, with experience drafting reports, policies, and training materials
• Strong analytical and problem‑solving skills, with confidence escalating issues when identified
• Ability to work independently, manage competing priorities, and meet tight deadlines
• Approachable and comfortable engaging with business stakeholders at varying levels
• Proficient in Microsoft Word, Excel, and PowerPoint; familiarity with CRM or project management tools (e.g., Monday.com) is an advantage
• Demonstrated experience using AI to automate daily workflows, increase efficiency and improve processes

What You Can Expect from Us 

• Central Location: based at our city offices near St Paul's.  
• Free Food: We provide lunch each day of the week when the employee attends the office via our vendor Feedr as well as breakfast cereals, office snacks and drinks from our free vending machines 
• Paid Time Off: 25 days annual leave entitlement plus 2 charity days
• Reward for your service: We offer a two-week bonus holiday after completing each 5 years of service 
• Core benefits: Besides competitive standard benefits package we offer private medical (PMI) for family, Cash Plan, health screenings, dental cover, 6X life assurance, critical illness cover, income protection, pension, car leasing (Tusker electronic cars), reimbursement for wellness stipend, interest free season ticket loan and a “Share Incentive” plan
• Tuition Assistance and Professional Training: Benefit from on-demand learning, boot camps, and opportunities to attend conferences 

Collaboration and innovation are integral to our success – it's how we got to where we are and how we’ll maintain and grow our competitive advantage. We believe this best happens in an office environment. Employees in Legal & Compliance work in the office 3 or more days a week. This approach still allows for flexibility depending on the business function you work within but also helps us maintain a collaborative office environment long-term.