Compliance Associate

1 week 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 tier 1 banking client.

**Key Responsibilities & Tasks**:
Compliance experience (2+ years) - preferably employee/PA trading or a form of conflicts.
- Monitor all employee trade rule violations.
- Assist with gathering of information in response to Internal Audit and Regulatory exam requests.
- Work closely with colleagues in Central Compliance and Employee Trading team to support the following: Training, OBAs, Personal investments, Employee trading.
- Notify external brokers to cease receipt of employee trade confirmations when a such employee is no longer employed by Company.
- Maintaining, adding and removing accounts: feed adds/removals, statements & non-approved broker accounts, non-domestic account review, documentation required, account centralization required. This includes updating employee supervisors.
- Conduct training to new joiners.
- Review trade alerts (open communication items).
- Reviewing requests (new broker accounts, updating broker accounts, or trade requests).
- Part of the Employee Trading shared mailbox and assist in responding to ad-hoc queries.
- Fulfil reporting requests: trading or pre-clearance history, orphan accounts, account inquiries and account reconciliation.
- Closing pending pre-clearance trade requests aftermarket closure.

**Qualifications/ Experience**:
The following skills and experience are required for this role:

- A minimum of 2 years post University experience in Financial Services
- Experience in Compliance.
- A team player who is comfortable interacting with staff at all levels,
- A self-starter, who can work both independently and as part of a team
- Excellent oral, written, interpersonal and presentation skills
- Able to prioritise work and meet deadlines
- Solid analytical and problem-solving skills and confident to challenge and propose new ideas
- Control minded and ability to escalate, where appropriate.

**WHY JOIN CAPCO?**

We offer:

- A work culture focused on innovation and building lasting value for our clients and employees
- Ongoing learning opportunities to help you acquire new skills or deepen existing expertise
- A flat, non-hierarchical structure that will enable you to work with senior partners and directly with clients
- A diverse, inclusive, meritocratic culture
- Enhanced and competitive family friendly benefits, including maternity / adoption / shared parental leave and paid leave for sickness, pregnancy loss, fertility treatment, menopause and bereavement

**NEXT STEPS**

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