About this role
Our mission is to enable everyone to build wealthWe reinvent how trading and investing work by creating exceptional products people love.
Fostering a culture of excellence and high velocity is the key to our success.
Тoday, we serve over 5 million clients, with more than €30 billion in assets under management - a testament to the scale and trust we’ve built in just a few years.
We are looking for a Compliance Monitoring Associate who will play a key role in operating the firms compliance monitoring framework to support the organization in meeting its regulatory obligations. This is a 2LOD Compliance Monitoring role, working within the wider Compliance Team to execute the annual Compliance Monitoring Plan including conducting periodic monitoring, reporting findings to the business, and tracking remediation through to completion.
What you’ll doUndertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
Identify any gaps or weaknesses in the plan and propose remedial actions
Day to day operation of monitoring tasks, ensuring tests are completed on time and that progress is made against the overall plan
Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process
Report and discuss all findings with appropriate management and following up to ensure remediation
Document the findings, recommended actions and management responses together with agreed timescales and action owners
Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Compliance Monitoring Manager and where relevant the Head of Compliance
Track business unit actions to mitigate risk and support continuous improvement across the business
Support the wider compliance team with ad hoc tasks as required
What you need to have2 – 3 years compliance monitoring experience within financial services.
Broad understanding of the FCA rules and regulations
Ability to assimilate complex details quickly and present clearly to the business or in a report
Strong report writing skills, as well as attention to detail and accuracy
A calm and methodical approach to troubleshooting issues in a pressured environment
Service-orientated/ self-starter attitude
Strong IT skills with a particular focus on Microsoft Word & Excel.
Educated to degree level in Law, Finance, or a related field.
Good communication and interpersonal skills.
Ability to work under pressure and be adaptable.
What we offer: Challenges that will help you grow and realize your potential fast.
Opportunity to make a significant impact - you will build innovative services used by millions of investors to build wealth.
Work with smart, spirited, helpful, high-performing colleagues with a common goal.
An environment where nothing is set in stone.
Appreciation for your talent and ideas.
Generous remuneration package
Are you ready to accelerate your career with us? We'd love to hear from you!
We thank all applicants, but only candidates selected for an interview will be contacted.
We process applicant data confidentially and in accordance with applicable data protection laws. We may use AI-powered tools to help review applications, but all hiring decisions are made by our human recruitment team. Where required by law, we rely on your consent to use these tools. You may withdraw this consent or exercise your data protection rights at any time by contacting us.