Compliance Associate

2 weeks ago

Glasgow, United Kingdom Capco Full time

**Compliance Associate - Conflict/Trade Experience**

**Location - Glasgow Hybrid Working 2/3 days a week commutable from surrounding areas - (inc Edinburgh etc)**

**About Capco**

We are:

- Experts in capital markets, banking and payments and wealth and asset management
- Deep knowledge in financial services offering, including e.g. Finance, Risk and Compliance, Financial Crime, Core Banking etc.
- Committed to growing our business and hiring the best talent to help us get there
- Focus on maintaining our nimble, agile and entrepreneurial culture

**Role Description**

Capco are recruiting for a Compliance Associate to support our Investment Banking Client.

**Key Responsibilities & Tasks**:
Compliance experience (2+ years) - preferably employee/PA trading or a form of conflicts.
- Collate all PA Trading activity for employees, monitoring electronic feeds from brokers and reaching out to employees for trade confirmations. Compare electronic feeds/information on trade confirmations with employees' trade requests.
- Take ownership of all incoming pre-clearance requests from employees (Outside Business Affiliation, Private Investments, Broker Accounts). Examine any conflicts of interest in these requests and highlight to senior management.
- Write reports of violations of the PA Trading policy, conducting investigations, and discussing each breach with senior management. Writing memorandums for more serious violations of the PA Trading Policy.
- Drafting/issuing policy reminders to employees as part of disciplinary action. Monitor ongoing breaches, track/update progress of each case.
- Assist with gathering of information in response to Internal Audit and Regulatory exam requests.
- Work closely with colleagues in Central Compliance.
- Notify external brokers to cease receipt of employee trade confirmations when a such employee is no longer employed by Company.
- Reviewing and monitoring broker accounts: checking electronic feeds haven't ceased, requesting statements from employees to ensure accounts are compliant, reviewing non-approved broker accounts, non-domestic account review, documentation required, account centralisation required.
- Conduct training to new joiners, including 1:1 refresher training with employees when necessary.
- Review and add PA Trading approvers to each new joiner of the company, reviewing approvers to make sure they are correct and up to date.
- Review any employees who leave the company and assess whether there is a gap in the approval hierarchy.
- Review trade alerts from brokers (open communication items).
- Reviewing all requests from employees (new broker accounts, updating broker accounts, trade requests that have an unexpected answer in the form, OBA's, PI's).
- Part of the Employee Trading shared mailbox and assist in responding to ad-hoc queries from employees and other departments.
- Fulfil reporting requests: trading or pre-clearance history, orphan accounts, account inquiries and account reconciliation.
- Closing pending pre-clearance trade requests aftermarket closure.
- Reviewing PA Trading policy regularly, adding in required information or updating information due to procedure changes.
- Take part in reviews of internal policies and procedures, giving input to the changes and recognising when updates are required.
- Closely monitor PA Trading teams' work (QA checks of all processes).
- Give constructive feedback to PA Trading team when issues are raised.
- Allocate workload to PA Trading team each day and monitor progress throughout the day.

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