Senior Compliance Associate – Wholesale Advisory
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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