Compliance Associate - Investment Banking - job 1 of 2

As a Compliance Associate at Capco in Glasgow, your primary responsibilities include monitoring employee trade rule violations, assisting with information gathering for audits, supporting training initiatives, and managing employee trading inquiries. You'll also review trade alerts and oversee the administration of brokerage accounts.

To qualify for the Compliance Associate position at Capco, you should have a minimum of two years of experience in financial services, particularly in compliance roles. Strong communication skills, the ability to collaborate with various teams, and excellent analytical skills are also essential to succeed in this role.

Capco is committed to fostering a culture of innovation and growth. As a Compliance Associate, you will have access to ongoing learning opportunities to expand your skillset and deepen your expertise. Our flat organizational structure allows you to work closely with senior partners, making your career development a priority.

Yes! Capco values work-life balance, and this Compliance Associate position offers a hybrid working model. You can expect to work from the office in Glasgow for two or three days a week while being able to work remotely on other days, providing you the flexibility needed to thrive.

The work culture at Capco is diverse, inclusive, and meritocratic. Compliance Associates are encouraged to 'Be Yourself' at work, celebrating individuality and unique perspectives. You'll be part of an agile environment that focuses on building lasting value for clients and upholding strong compliance standards.

When answering this question, detail your specific roles and responsibilities related to compliance in financial services. Highlight any experience with employee trading, conflict management, and adherence to regulatory requirements.

In your response, demonstrate your understanding of compliance procedures. Explain the steps you would take to investigate the violation, notify the appropriate parties, and implement preventive measures to avoid future incidents.

Share any relevant tools or software you've used, such as trade surveillance systems, compliance management tools, or reporting software. Discuss how you’ve effectively utilized these tools in your past roles to enhance compliance efforts.

Emphasize your attention to detail and systematic approach when reviewing trade alerts. Describe any processes you follow to verify information, consult with team members, and escalate issues when necessary.

Discuss the topic of the training, your audience, and the feedback received. Highlight how your training improved awareness and adherence to compliance standards among employees.

Outline your methods for effective prioritization, such as utilizing task management tools or following a systematic approach to differentiate urgent matters from routine tasks. Provide an example where this strategy made a difference.

Focus on your interpersonal skills and collaborative mindset. Explain how you would address any issues directly, seeking to understand their perspective while finding common ground for cooperation.

Detail your process for preparing for an internal audit. Mention reviewing compliance documentation, organizing data requests, and ensuring that all team members are informed and ready for any inquiries.

Share your enthusiasm for Capco’s culture, commitment to diversity, and innovative approach in financial services. Explain how your personal values align with the company’s mission and how you can contribute to its success.

Discuss specific strategies you would recommend, such as proactive training, improved communication channels, and regular compliance assessments. Highlight any past experiences where you successfully implemented similar strategies.