Core Compliance Associate

Role within the EMEA Core Compliance team focusing on employee compliance activities aligned to the firm’s Compliance Control Framework. Responsibilities include developing knowledge of the Senior Managers and Certification Regime (SMCR), assessing completed background screening reports to ensure regulatory requirements are fulfilled, evaluating responses on broker Fitness & Propriety attestations for follow-up actions, handling new joiner processing with policy documents and competency assessments, providing access to professional qualifications and training, processing NFA documentation and registrations via the NFA ORS portal, chasing and recording escalations, maintaining internal tracking for Exchange registrations (e.g., Eurex, ICE, CME), coordinating EMEA Compliance training and engagement, compiling BAU task evidence, responding to emails within 48 hours, assisting with ad hoc work and investigations, staying informed on regulatory changes, and taking minutes for working groups with updated procedure documentation.|,