Compliance Associate - Capital Markets

Overview

A leading Governance Risk and Compliance Consultancy

ABOUT FSCOM

fscom is a leading consulting firm providing governance, risk, and compliance solutions to the asset management, capital markets, digital assets and payments industries across UK and Europe.

Over the last fourteen years, we have built a reputation for providing high quality, commercially focused advice to our clients, meaning that we have become widely recognised as the premier compliance consulting firm to the financial services sector. Following our strategic partnership with Bridgepoint in 2022, we are on an exciting growth trajectory and are looking for driven, ambitious professionals to be part of this journey.

As a Compliance Associate in the Capital Markets practice, you will be responsible for delivering compliance support to our clients and providing them with clear, practical regulatory guidance, advice and insight. You will work as part of a team alongside senior consultants and under the supervision of industry specialists with deep technical expertise.

With our strong presence across capital markets, asset management, investment firms and trading venues, you will have the opportunity to engage in a wide range of advisory, authorisation, regulatory change and assurance projects, including work under MiFID II / MiFIR, market conduct, governance and prudential frameworks.

This role is a strong development opportunity for individuals who wish to learn from experienced practitioners, work with leading capital markets clients and challenge themselves in delivering high-quality regulatory solutions. You will have regular exposure to senior members of the business to support your learning and development. For candidates with prior experience, there will be opportunities to support the development of capital markets specialisms and contribute to the delivery of complex regulatory projects.

We are looking for individuals who demonstrate initiative, strong attention to detail and a genuine interest in developing their technical and consultancy skillset within capital markets compliance.

• Assisting with the provision of high-quality compliance work products to our clients
• Working and delivering multiple projects across authorisations, advisory, audit and managed services.
• Partnering with our client base to understand their business and be able to design and implement their regulatory strategy.
• Undertaking compliance reviews and audits, including assessments of MiFID conduct requirements, governance arrangements, conflicts of interest and market abuse controls, as well as broader regulatory and legislative controls, and making practical recommendations for improvement
• Stay up to date with the ever-evolving regulatory requirements
• Any other duties as reasonably required

• 1 + years’ experience working within a governance, compliance role gained working in-house within a financial services institution or professional services advisory business
• Strong analytical skills with the ability to interpret complex information
• Displays professionalism in everything they do
• Ability to work with, and communicate information clearly and effectively to, both clients and team members
• Excellent organisational skills with the ability to manage numerous deadlines and projects simultaneously
• Excellent attention to detail and understands the importance of pride in the work delivered internally and to clients
• Quick to learn, curious with initiative, and constantly striving to develop technical expertise
• Collegiate outlook with the ability to work effectively as part of a cohesive team, whilst taking ownership for areas under their responsibility.
• A strong desire to build consultancy skills and client base in the future.

• Evidence of further professional development such as ACAMS, ICA OR CISI certificates.
• Prior exposure to the capital markets or investment firms sector, including familiarity with MiFID II / MiFIR, market conduct or governance requirements

fscom reserves the right to expand the criteria for this role dependent upon the number of applications received.

• Opportunity for career acceleration – fast-track your growth in a high-impact role.
• Work with industry experts – collaborate with some of the leading specialists in governance, risk, and compliance.
• Be part of a dynamic, growing company – join at an exciting time of expansion and opportunity.
• Hybrid working environment – flexibility to work remotely and in person.

We are an equal opportunities employer, committed to Diversity & Inclusion and being a Great Place to Work (GPTW) for all and currently hold the Bronze standard in Diversity Mark NI and the GPTW accreditation.