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
• 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
• Organise and maintain reporting tasks for the department
• 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
• Support the overall team function, including special projects, as assigned
• Perform any ad-hoc tasks, as assigned

Critical Knowledge, Skills & Experience

• At least 1-3 years relevant Compliance Experience is required, especially experience in financial promotions
• 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
• Knowledge of UK/EU Product intervention measures and restrictions on marketing CFDs 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