Senior Compliance Associate – Wholesale Advisory

  • Location
    City of London, London
  • Contract Type
    Fixed Term Contract
  • Posted
  • Start Date
  • Industry
    Financial Services (In-house)
  • Salary
    £80000 - £100000 per annum
  • Expiry Date

We have a current opportunity for a Senior Compliance Associate – Wholesale Advisory on a permanent basis. The position will be based in London. For further information about this position please apply.

  • Monitoring key regulatory developments/horizon scanning
  • Offering advice and guidance to other business units as required
  • Implementation of new regulations and other projects
  • Overseeing and interpretation of relevant laws and regulations, including identifying changes to these that could affect the business.
  • Implementation of suitable compliance controls to new business initiatives and new products
  • Continually monitor and enhance existing compliance controls.
  • Perform “deep dive” ad hoc monitoring tasks as outlined within the Firm’s Compliance Monitoring Programme (“CMP”) e.g., review of outsourcing arrangements.
  • Review and approve financial promotions
  • Provide training to the business, as required.
  • Investigation and resolution of ad hoc queries from regulators, exchanges, and other areas of the business
  • Ensure that the Firm’s compliance policies and procedures remain up to date Knowledge and Experience Essential:
  • University degree in business, law, finance, economics, politics, or other similar discipline
  • Previous relevant experience Preferred:
  • Strong knowledge of applicable regulations e.g., MiFID II, CASS
  • Strong knowledge of products and markets that SFL is active in: Products – Exchange traded and OTC commodities, FX, and Securities.Exchanges – ICE, LME, Eurex, Euronext, EEX, LSE Qualifications Essential: Fluency in business English Preferred: Professional Compliance Qualification Computer competency, including Microsoft Outlook/Word/Excel Skills
  • Effective planning, organisation, and time management skills
  • Ability to work extremely accurately, thoroughly, reliably and with strong attention to detail.
  • Strong analytical skills
  • Strong ability to work solely and prioritise multiple tasks.
  • Good relationship building and communications skills (written and oral)

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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