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As a Compliance Associate, you will be responsible for conducting the day-to-day operations and activities of the company’s Central Compliance team in accordance with applicable laws, regulations and internal standards.
Principal Duties & Responsibilities including but not limited to:
· Review and approve financial promotions (marketing materials, advertising campaigns, website content, email marketing, social media campaigns) and client communication to ensure they comply with global regulatory requirements · Review and assess compliance incidents and breaches and provide timely escalations to Management, where necessary · Provide timely guidance and advice to business stakeholders · Coordinate with Global Compliance Department & monitor standard business activities, functions and practices to ensure compliance with regulations and policies · Identify key compliance risks and weaknesses and recommend enhanced procedures to improve operational efficiency and control · Prepare internal (e.g. Management information/compliance incidents) and external (e.g. regulatory submissions) reports · Assist in maintenance and administration of workload through the Compliance ticketing system · Support the overall team function, including special projects, as assigned
Critical Knowledge, Skills & Experience
· At least 1-3 years relevant Compliance Experience is required · Understanding of FCA and ESMA rules, MiFID II regulatory requirements and other relevant regulations or industry standards · Knowledge of OTC products, including CFDs and spread bets, is a plus · Fluency in written and spoken English is essential
Working days/Hours: 40 hours/week - Monday to Friday; Hybrid model - 3 days from the office
All Stratos Support EAD employees must be eligible to work in Bulgaria.
Prior to submitting your resume, the firm requests that you do the following:
Review the firm's website thoroughly at https://www.tradu.com/uk/
Company Description Tradu is a new multi-asset global trading platform and is part of the Stratos group of companies. Tradu, built by traders for traders, provides the most sophisticated traders with a serious platform that allows them to move easily between asset classes such as stocks, CFDs and crypto, depending on the regulations that govern the trader’s market.
Equal Opportunity Employer
Principal Duties & Responsibilities including but not limited to:
· Review and approve financial promotions (marketing materials, advertising campaigns, website content, email marketing, social media campaigns) and client communication to ensure they comply with global regulatory requirements · Review and assess compliance incidents and breaches and provide timely escalations to Management, where necessary · Provide timely guidance and advice to business stakeholders · Coordinate with Global Compliance Department & monitor standard business activities, functions and practices to ensure compliance with regulations and policies · Identify key compliance risks and weaknesses and recommend enhanced procedures to improve operational efficiency and control · Prepare internal (e.g. Management information/compliance incidents) and external (e.g. regulatory submissions) reports · Assist in maintenance and administration of workload through the Compliance ticketing system · Support the overall team function, including special projects, as assigned
Critical Knowledge, Skills & Experience
· At least 1-3 years relevant Compliance Experience is required · Understanding of FCA and ESMA rules, MiFID II regulatory requirements and other relevant regulations or industry standards · Knowledge of OTC products, including CFDs and spread bets, is a plus · Fluency in written and spoken English is essential
Working days/Hours: 40 hours/week - Monday to Friday; Hybrid model - 3 days from the office
All Stratos Support EAD employees must be eligible to work in Bulgaria.
Prior to submitting your resume, the firm requests that you do the following:
Review the firm's website thoroughly at https://www.tradu.com/uk/
Company Description Tradu is a new multi-asset global trading platform and is part of the Stratos group of companies. Tradu, built by traders for traders, provides the most sophisticated traders with a serious platform that allows them to move easily between asset classes such as stocks, CFDs and crypto, depending on the regulations that govern the trader’s market.
Equal Opportunity Employer