Compliance Associate
Compliance Associate
Posted on :
22-07-2025
Employer Active
1 Vacancy
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Job Description
You will be part of the Compliance team and will be responsible for undertaking compliance monitoring and day-to-day compliance activities; helping to ensure that the Company complies with all regulatory requirements including global tax compliance and financial crime legislation.
- Undertake compliance monitoring in accordance with the Compliance Monitoring Programme and as appropriate monitor corrective actions
- Review financial promotions. Ensure staff in business departments are aware of and adhere to the Companys policies on financial promotions
- Ensure the application of the following processes:
- AML/KYC processes
- Sanction and PEP screening
- Global tax compliance legislation (AEOI/FATCA)
- Review customer complaints claims and litigation investigate where appropriate and work with staff in business departments to ensure compliance with Company policies on customer complaints
- Have day-to-day awareness of legal risks applicable to the business and work with Group Legal function and external counsel to ensure smooth and timely delivery of legal matters
- Provide legal regulatory & compliance advice to the business
- Maintain awareness of legal and regulatory developments; providing analysis and assessment where required
- Promote a culture of compliance within the firm to minimise risk and ensure regulatory standards and personal responsibilities are understood by all staff
- Assist with the internal compliance training programme including the organisation and delivery of online training modules and ad hoc face-to-face training where appropriate
Qualifications :
- Strong general knowledge of U.K regulatory environment
- Experience using sanctions screening and adverse media software
- Detailed knowledge of the CDD requirements for onboarding complex and high-risk clients
- Knowledge of financial crime prevention and SAR/STOR drafting and/or submission
- Excellent analytical problem-solving and decision-making skills
- Strong written and verbal communication skills
- Ability to prepare clear and concise management information reports.
- Proficiency in Microsoft Office suite
- Confidence to deal with colleagues at all levels of the organisation and get buy-in in order to enhance processes and procedures
- Thorough knowledge of CASS EMIR MiFID FATCA
- Educated to degree level
- Strong understanding of Swissquotes product offering; experience with a range of financial products including physical and synthetic brokerage as well as digital assets
- (Preferred) Professional qualifications in compliance management preferred such as CISI or ICA
Additional Information :
SQ3
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
Department / Functional Area
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