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Compliance Associate (UK), Appointed Representatives

3 weeks ago
Europe, United Kingdom
Full-time
Mid Level
Compliance Manager
Finance and Accounting
Apply Now
Alpaca

Alpaca

Alpaca is a developer-first API for stock and crypto trading, offering easy-to-use APIs for building apps and trading algorithms.

Capital Markets
51-250
Founded 2015
$87M raised
View All Jobs 44

Description

  • Oversee and approve the onboarding of appointed representatives (ARs).
  • Monitor ARs on an ongoing basis, including final sign-off on their financial promotions.
  • Review and approve financial promotions for s21 clients, including high-risk products.
  • Assist with FCA filings.
  • Support compliance oversight within an AR umbrella in a dynamic, remote-first environment.

Requirements

  • Direct experience in wealth management, brokerage, trading, compliance, or audit.
  • Strong knowledge of the FCA Handbook and rules.
  • Knowledge of anti-money laundering regulations and operations.
  • Experience producing, executing, or overseeing a Compliance Monitoring Plan (CMP).
  • Compliance oversight experience.
  • Strong attention to detail.
  • Comfortable working in a digital environment.
  • Comfortable working for a remotely based company.
  • Ability to adapt quickly to changing situations.
  • Ability to manage workloads independently without supervision.
  • Ability to work well in a diverse and collaborative team environment.
  • Experience in the Appointed Representative landscape, including firm onboarding, APER onboarding, and AR monitoring (preferred).
  • Experience as a compliance SME in AR meetings and AR-related projects (preferred).
  • Experience in risk management (preferred).
  • Experience formulating responses to complex regulatory questions based on prevailing rules and legislation (preferred).
  • Auditing experience (preferred).
  • Experience in the fintech and/or start-up space (preferred).

Benefits

  • Competitive salary with stock options.
  • Health benefits.
  • One-time USD $500 new hire home-office setup stipend.
  • USD $150 monthly stipend via Brex card.

Interested in this position?

Apply directly on the company website

Apply Now

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