Compliance Associate

Role:

The Compliance Associates primary focus is to undertake the daytoday review and analysis of surveillance alerts conduct communications monitoring and provide broader support to the Compliance team across a variety of regulatory activities.

Key responsibilities:

• Review daily trading activity to identify unusual or potentially suspicious behaviour
• Conduct daily and monthly ecommunications and voice recording monitoring escalating issues where appropriate
• Analyse emerging trends and support ongoing enhancements to surveillance processes
• Respond to compliance-related BAU queries from the business including basic AML questions and trading jurisdiction checks
• Work with the wider business units to conduct onboarding checks KYC refreshes and general compliance reviews
• Assist in review and updating of policies procedures and compliance documentation
• Assist the broader Compliance function with ad-hoc tasks and project work as needed
• Complete monitoring reviews in line with the Compliance Monitoring Plan
• Assist with the production of monthly Management Information (MI) across surveillance monitoring programmes and Consumer Duty
• Support the firms risk frameworks ensuring controls remain effective and up to date
• Any other ad hoc duties that may be required.

The ideal candidate will have:

• Good experience in a Compliance Monitoring Trade Surveillance or similar regulatory role within financial services (experience in trading environments and/or retail brokerages desirable).
• Exposure to analysing alerts or working with surveillance systems is desired
• Strong IT literacy and the ability to learn new systems quickly.
• Comfortable navigating the FCA Handbookand familiar with core FCA regulatory expectations.
• Excellent written skills with the ability to produce clear concise reports.
• Strong verbal communication and confidence engaging with stakeholders.
• Analytical mindset with strong attention to detail.
• Able to work accurately under time pressure.
• Curious proactive and eager to learn across multiple areas of Compliance.
• Organised and capable of managing your own workload effectively.

About Us

Alvar Financial Services is a boutique firm offering a variety of investment and trading services through its business lines - Equity Markets for professional and institutional clients Research Services and Electronic Global Retail Platform for private clients. Our small community and flat structure empowers our people to grow and create unconstrained ideas within their field of expertise driving innovation and mastery in their work. We all work together as one to achieve our vision of being a trusted partner to our clients providing unrivalled insights and a collaborative high touch service.

Alvar Financial Services is committed to providing reasonable accommodations in our job application procedures for individuals with disabilities. Please inform our HR Team via this application process if you need any assistance in participating in the process.

Required Experience:

Junior IC