Compliance Associate - Conflict/Trade Experience
Location - Glasgow Hybrid Working 2/3 days a week commutable from surrounding areas – (inc Edinburgh etc)
Joining Capco means joining an organisation that is committed to an inclusive working environment where you’re encouraged to #BeYourselfAtWork. We celebrate individuality and recognize that diversity and inclusion, in all forms, is critical to success. It’s important to us that we recruit and develop as diverse a range of talent as we can and we believe that everyone brings something different to the table – so we’d love to know what makes you different. Such differences may mean we need to make changes to our process to allow you the best possible platform to succeed, and we are happy to cater to any reasonable adjustments you may require. You will find the section to let us know of these at the bottom of your application form or you can mention it directly to your recruiter at any stage and they will be happy to help.
About Capco
We are:
- Experts in capital markets, banking and payments and wealth and asset management
- Deep knowledge in financial services offering, including e.g. Finance, Risk and Compliance, Financial Crime, Core Banking etc.
- Committed to growing our business and hiring the best talent to help us get there
- Focus on maintaining our nimble, agile and entrepreneurial culture
Role Description
Capco are recruiting for a Compliance Associate to support our tier 1 banking client.
Key Responsibilities & Tasks:
Compliance experience (2+ years) - preferably employee/PA trading or a form of conflicts.
- Monitor all employee trade rule violations.
- Assist with gathering of information in response to Internal Audit and Regulatory exam requests.
- Work closely with colleagues in Central Compliance and Employee Trading team to support the following: Training, OBAs, Personal investments, Employee trading.
- Notify external brokers to cease receipt of employee trade confirmations when a such employee is no longer employed by Company.
- Maintaining, adding and removing accounts: feed adds/removals, statements & non-approved broker accounts, non-domestic account review, documentation required, account centralization required. This includes updating employee supervisors.
- Conduct training to new joiners.
- Review trade alerts (open communication items).
- Reviewing requests (new broker accounts, updating broker accounts, or trade requests).
- Part of the Employee Trading shared mailbox and assist in responding to ad-hoc queries.
- Fulfil reporting requests: trading or pre-clearance history, orphan accounts, account inquiries and account reconciliation.
- Closing pending pre-clearance trade requests aftermarket closure.
Qualifications/ Experience:
The following skills and experience are required for this role:
- A minimum of 2 years post University experience in Financial Services
- Experience in Compliance.
- A team player who is comfortable interacting with staff at all levels,
- A self-starter, who can work both independently and as part of a team
- Excellent oral, written, interpersonal and presentation skills
- Able to prioritise work and meet deadlines
- Solid analytical and problem-solving skills and confident to challenge and propose new ideas
- Control minded and ability to escalate, where appropriate.
WHY JOIN CAPCO?
We offer:
- A work culture focused on innovation and building lasting value for our clients and employees
- Ongoing learning opportunities to help you acquire new skills or deepen existing expertise
- A flat, non-hierarchical structure that will enable you to work with senior partners and directly with clients
- A diverse, inclusive, meritocratic culture
- Enhanced and competitive family friendly benefits, including maternity / adoption / shared parental leave and paid leave for sickness, pregnancy loss, fertility treatment, menopause and bereavement
NEXT STEPS
If you’re looking forward to progressing your career with us, please do not hesitate to apply. We are looking forward to receiving your application.
To learn more about Capco and its people check out the website on www.capco.com
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What the Team is Saying
What We Do
Capco, a Wipro company, is a global management and technology consultancy specializing in driving transformation in the energy and financial services industries. Capco operates at the intersection of
business and technology by combining innovative thinking with unrivalled industry knowledge to fast-track digital initiatives for banking and payments, capital markets, wealth and asset management, insurance,
and the energy sector. Capco’s cutting edge ingenuity is brought to life through its award-winning Be Yourself At Work culture and diverse talent.
TRUSTED ADVISORS - Our collaborative and entrepreneurial approach position us as trusted long-term partners to our clients.
DEEP EXPERTISE - Clients look to us for clear guidance, proven expertise, and the support they need to set their companies up for success.
DISRUPTIVE SOLUTIONS- We do not provide off -the-shelf answers to clients’ challenges. Instead, we work in close collaboration to understand the issues, and craft disruptive, bespoke solutions.
ACCOUNTABILITY AND OWNERSHIP - We recognize every client has distinct needs and expectations, and we take ownership and accountability for the solutions we design, build, and deliver.
Why Work With Us
We support and encourage an inclusive culture, entrepreneurial outlook and independent thinking. Capco is not about organizational charts and rigid hierarchies – we want all employees to feel that Capco is their firm to own and run. We believe diversity powers innovation. Be Yourself At Work (#BYAW) is an integral and underlying part of our culture
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