A leading company in Birmingham seeks a Compliance Associate to manage compliance and regulatory risks. The role involves ensuring adherence to laws and regulations, managing audits, and collaborating with various business areas. Ideal candidates will possess strong communication and organizational skills, along with a Bachelor's degree and relevant experience. Join us to contribute to maintaining the firm's reputation and compliance infrastructure.
Qualifications
* 0-3 years of relevant experience.
* Proficient to advanced MS Office skills.
Responsibilities
* Manage compliance, regulatory, and reputational risks.
* Ensure adherence to laws, rules, and regulations.
Skills
Communication
Organizational Skills
Analytical Skills
Education
Tools
MS Office
Compliance | Associate | Birmingham
Location: Birmingham, West Midlands, England, United Kingdom
About this Skillset:
Manage the firm’s compliance, regulatory, and reputational risks by ensuring adherence to laws, rules, and regulations. Our colleagues in Global Compliance are responsible for managing audits and inquiries, compliance learning, surveillance, and testing the firm’s risk management infrastructure.
Note: Applying to this skillset will consider you for multiple roles across the firm that require this expertise. The division and function examples provided are representative of common opportunities; the list is not exhaustive, and role availability depends on business needs.
Divisions and Job Functions:
* Global Compliance: Protects the firm's reputation and manages risks across all business areas, working closely with each to interpret and ensure compliance with regulatory requirements, monitor trends, and collaborate with regulators.
* Financial Crime Compliance (FCC): Coordinates the anti-financial crime program, designing systems to prevent and detect money laundering, terrorist financing, insider trading, sanctions violations, bribery, fraud, and misconduct.
* Core Compliance: Implements and maintains the regulatory compliance program, including change management, policies, training, and risk assessment.
* Global Banking and Markets – Public Compliance: Oversees regulatory and reputational risks, advising on compliant business conduct.
* Compliance Testing Group (CTG): Provides assurance of compliance infrastructure through independent testing of policies, procedures, and controls.
Basic Qualifications:
* 0-3 years of relevant experience
* Proficient to advanced MS Office skills (Excel, PowerPoint, Word, Outlook)
* Highly organized with attention to detail
* Ability to manage multiple projects and deadlines
* Strong communication skills, team-oriented attitude
* Adaptability to fast-paced environments and various industries
* Self-directed analytical skills and independent judgment
* Ability to build relationships with senior management and stakeholders
* Integrity, ethics, sound judgment
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