Compliance Associate
About us
Sharegain began with one question: If the largest institutions solely exercise the right to lend their stocks, bonds, and ETFs, what would it take to unlock this revenue opportunity for every investor?
Our team of experts in the US, UK and Israel built the solution: a platform that empowers online brokers, private banks, and wealth managers to offer securities lending to their clients. We call it SLaaS: Securities Lending as a Service. It’s a fully digital, customizable, end-to-end solution that automates front- and back-office operations. Institutions and investors are now free to earn more from what they own.
Every Sharegainer has their own backstory, but we all share an ambition to do things differently – bigger, better, and greater. Together we’re on a mission to democratize capital markets by building a more liquid world. The more we share, the more we all gain.
About the role:
We are looking for a Compliance Associate to join our fast-growing fintech scale-up to assist with administration of the compliance programme of our FCA-regulated entity, Sharegain Ltd. Reporting to VP Compliance, this is a broad role encompassing responsibilities in Compliance and Risk Management second line functions, which offers a great opportunity for someone eager to learn and broaden their skills. You will have an opportunity to work with many different stakeholders of all levels of seniority across the organisation on a variety of Risk and Compliance matters.
This role is for you if you have a thirst for knowledge and are diligent, detail-oriented, and passionate about doing the right thing.
Responsibilities:
Policies & Procedures: Assist with the development, implementation, and maintenance of the entity’s policies and procedures. Administer the policy management process, ensuring that policies and procedures are updated, reviewed and approved by relevant owners, and published and read by the relevant audience.
Marketing Communications & Financial Promotions: Review and approve marketing materials, financial promotions and other communications for compliance with applicable regulatory requirements and content standards.
Personal Account (PA) Dealing: Review PA Dealing requests and assist VP Compliance with performing periodic monitoring of the employees’ personal trading activity.
Market Abuse Monitoring: Review alerts generated by the automated Market Abuse Regulation (MAR) Monitoring tool for the signs of potentially suspicious activity. Propose refinements/calibrations to the algorithm and, once approved, work with the Data team to implement them.
Periodic Compliance Monitoring: Perform periodic (quarterly) compliance monitoring, carry out compliance testing and maintain appropriate records. Assist VP Compliance with the development of the entity’s monitoring programme.
AML: Maintain client files on the AML platform, review and resolve (or escalate) alerts, and partner with the Onboarding team to ensure that periodic due diligence is completed on schedule.
Compliance Training: Assist with delivery of compliance training and maintenance of the online compliance training platform.
SMCR: Administer annual Senior Managers and Certification Regime (SMCR) processes. Assist with maintaining the SMCR policy and operating procedures, and the annual F&P assessment process.
Compliance Operations: Keep the Compliance Calendar up-to-date. Maintain Sharegain’s employee compliance platform and ensure that records are appropriately maintained on the Compliance team’s internal SharePoint site.
Horizon Scanning: Stay abreast of key regulatory developments by reviewing the FCA’s publications, industry thought leadership, and attending regulatory seminars/webinars. Escalate the relevant regulatory changes to VP Compliance and assist with implementation of the necessary changes to internal policies and controls.
Required skills:
Strong academic record evidenced by an undergraduate degree (or above) in Law, Economics or another relevant discipline. STEM disciplines are highly regarded.
1-2 years of FCA compliance experience in financial services (preferably wholesale). Understanding of the FCA rules and ability to navigate the FCA Handbook.
Proactive A-Z approach, taking responsibility for processes from start to finish and identifying areas for improvement.
Comfortable using technology and AI to streamline processes.
Excellent organisational skills and attention to detail.
Strong communication skills, and ability to work independently and collaboratively with team members to share information and provide support.
Sharegain is an equal opportunity employer. Employees and contractors, as well as prospective employees and contractors, will all be treated equally and fairly. We are passionate in our belief that a diverse workforce is central to our success, and we are proud to reflect this within our recruiting processes.
- Department
- Compliance
- Locations
- London
- Remote status
- Hybrid
