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 Europe Limited employees must be eligible to work in Cyprus.
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