Compliance Associate (London, LND, GB, EC2M 2AT)

Sumitomo
London
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceSkills: ["Customer focus","Driving change","Judgement and decision making","Risk management","Trust and integrity"]

Support the EMEA Compliance Control Room by managing personal and transactional conflicts of interest, inside information, information barriers, and restricted/watch lists. Handle control room enquiries using the Global Control Room System, perform conflict reviews and monitoring, and contribute to policy guidance and regulatory advice. Work closely with Front Office, Compliance, Legal, Risk, HR, and international stakeholders while producing MI for governance committees and supporting control testing and change initiatives.

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Sumitomo
Sumitomo
2 days ago

Compliance Associate (London, LND, GB, EC2M 2AT)

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Last checked: 8 hours agoStatus: Live

Job Summary

Support the EMEA Compliance Control Room by managing personal and transactional conflicts of interest, inside information, information barriers, and restricted/watch lists. Handle control room enquiries using the Global Control Room System, perform conflict reviews and monitoring, and contribute to policy guidance and regulatory advice. Work closely with Front Office, Compliance, Legal, Risk, HR, and international stakeholders while producing MI for governance committees and supporting control testing and change initiatives.
Location: London
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance

Key Responsibilities

  • •Support the effective and efficient delivery of EMEA Control Room activities, including oversight and challenge across compliance controls.
  • •Manage personal conflicts of interest, including Personal Account Dealing (PAD) and Outside Business Activities (OBA).
  • •Manage transactional conflicts of interest and information barriers, including inside information and insider lists/wall crossings.
  • •Maintain and manage the watch list and restricted list, including conflict clearance and conflict monitoring.
  • •Produce Control Room management information (MI) such as KRIs and KPIs for governance committees and senior management.

Pay and Benefits

Perks:Hybrid WorkingPaid LeaveHealth InsuranceLife InsuranceLearning Budget

Key Requirements

  • •Support daily Control Room activities related to conflicts of interest, personal account dealing, and outside business activities.
  • •Manage inside information, insider lists, and information barriers (including wall crossings) in line with internal policies and regulatory requirements.
  • •Maintain and oversee watch lists and restricted lists, including conflict clearance and conflict monitoring.
  • •Provide policy guidance and regulatory advice to relevant stakeholders, including Front Office and other control functions.
  • •Handle control room enquiries consistently, accurately, and in a timely manner using the Global Control Room System.
Skills:Customer focusDriving changeJudgement and decision makingRisk managementTrust and integrity
Tech Stack:Global Control Room System

Company Brief

Sumitomo
Sumitomo Corporation is a global diversified trading and investment conglomerate engaged in metal products, transportation, infrastructure, media, real estate, and other business domains through investments, trading, and integrated solutions worldwide.
Industry: Conglomerates & Holding Companies
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Tokyo, Japan
Founded: 1919
WebsiteLinkedIn