Compliance Associate - Surveillance & Controls

Scope and Purpose

This role supports the activities of the Intesa Sanpaolo London Branch Regulatory Compliance Department and involves a variety of tasks, including:

• 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.