Compliance Associate - Trade Surveillance

Compliance Associate (Trade Surveillance) – Asset Management - London

Company Overview:

Our client is an institutional asset manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Associate to join their Compliance team and contribute to the success and growth of the firm.

Role Overview:

As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for a range of compliance tasks with a strong focus on trade surveillance and market abuse monitoring. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.

Key Responsibilities:

• Trade surveillance and market abuse monitoring
• Thematic reviews and testing
• Develop and maintain compliance policies and procedures
• Regulatory filing
• Compliance training
• Client onboarding (AML and KYC)
• Ad hoc project work

Requirements:

• Bachelor's degree in Finance, Economics, Law, or a related field.
• Prior experience (1-3 years) covering MAR (Market Abuse Regulation).
• Strong knowledge of UK financial regulations and industry best practices.
• Excellent analytical and problem-solving skills with high attention to detail.
• Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.

If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.

For more details, please contact Jon Pettet at

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