Compliance Associate - Surveillance & Controls

Date: Apr 10, 2026

Location: London, GB

Scope and Purpose

• Assist in delivering, executing, and continuously improving the firm's Compliance Monitoring Plan (CMP).
• Conduct thematic reviews, sample testing, and outcome-based assessments across business units.
• Track and verify the implementation of remediation actions, ensuring timely resolution and effective controls.
• Prepare clear and concise monitoring reports for senior management and relevant committees.
• Ensure monitoring activities align with FCA expectations, particularly SYSC, COBS, MAR, SMCR, and conduct risk standards.
• Escalate significant risks, breaches, or emerging trends in accordance with internal governance.
• Assess the effectiveness of internal controls and regulatory frameworks, identifying weaknesses and providing clear recommendations.
• Assist in the maintenance of Watch Lists
• eComms surveillance and controls around flows of inside information within the Bank.
• Provide support on ad hoc tasks and projects as requested
• Develop and enhance policies and procedures relating to controls and monitoring liaising with other areas of the business, as necessary.

Required Experience

Minimum of 2 years experience conducting compliance monitoring reviews and surveillance.

Required Qualifications, Skills and Knowledge

• Degree educated (Law, accountancy, economics, business) or relevant professional qualifications (CISI/ICA).
• Strong understanding of the UK regulatory framework, particularly FCA rulebooks namely COBS, MAR and SYSC, as well as familiarity with European regulations, such as MiFID and EMIR.
• Experience with managing MNPI and using watch list tools.
• Knowledge of one or more asset classes: fixed income, equities, FX, or equity derivatives
• Fluent in a European language is advantageous.

We guarantee an inclusive and equal environment. We will consider all applicants regardless of race, religion, sexual orientation, gender identity, marital status, national origin, age, disability, or any other protected category in compliance to D.lgs. 198/2006, 215/03 and 216/03.

For the evaluation of the application, the data will be processed by Intesa Sanpaolo S.p.A. as Data Controller. We invite you to review the dedicated Privacy Information Notic efor more details.