Compliance Associate - Surveillance & Controls

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.

About us

We are the leading banking group in Italy and one of the Top Tier in Europe. Join us and be part of our successful story!

With over 20 million customers in Italy and abroad, we are a true engine of sustainable growth, with a strong commitment to the environment and a tangible impact on society. People are our driving force. We take care of them and foster an inclusive culture where everyone feels valued and empowered.

Join an international and innovative Group. Don't wait for the future, choose it!

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