Role Overview
The Compliance Associate supports the firm’s regulatory and internal compliance framework, ensuring
adherence to applicable financial regulations and industry standards
The role involves monitoring trading activities, leading the onboarding process, conducting due diligence,
and maintaining robust compliance controls to mitigate regulatory and operational risk.
Key Responsibilities
Regulatory Compliance
Monitor and ensure compliance with relevant financial regulations (e.g., derivatives trading,
market conduct rules).
Assist in implementing and maintaining compliance policies and procedures.
Stay up to date with regulatory developments impacting the markets and brokerage activities.
Maintain the Compliance Calendar and breaches registers
Regulatory Reporting
Carry out FCA regulatory data reporting via Reg Data System and work with key stakeholders to
obtain the relevant information for regulatory submission.
Trade Surveillance & Monitoring
Conduct daily monitoring of trading activity via ‘Steeleye’ to identify suspicious or non-compliant
behaviour.
Review communications (emails, chats, calls) in line with regulatory requirements.
Conduct trade reconstructions to ensure trades are compliance with applicable regulations.
Where appropriate escalate concerns to MLRO.
Client Due Diligence (CDD/KYC)
Lead the onboarding process for new clients.
Perform Know Your Customer (KYC) and Anti-Money Laundering (AML) checks on an ongoing and
periodic basis.
Perform onboarding screening via Moody’s Compliance Catalyst of new and existing clients
Escalate high-risk clients or transactions where necessary.
Internal Controls & Reporting
Assist in preparing compliance MI and board reports for senior management.
Maintain accurate compliance records and documentation.
Support internal audits and regulatory inspections.
Risk Assessments
Review and Maintain Broker Risk assessments, Market Abuse Risk Assessment and AML Business
Wide Risk Assessment.
Training & Registrations
Help deliver compliance training to staff.
Register new staff with the FCA
Promote a strong compliance culture across the organization.
Attend industry forums and seminars where appropriate to stay up to date with key regulatory
priorities.