Compliance and Regulation

Think of each department as a “module”. Each department is where you will work and learn by doing with hands on experience across a range of simulated and real-World activity.

Chris Clarke, CEO & Founder

Compliance & Regulation

A thorough understanding of international regulation and compliance is an essential element in considering a career in financial services. Compliance specialists are now among the highest paid employees in the industry, with the increasing pace of regulatory change and in the control of money laundering. The GCA team provides a wealth of experience in areas such as trade reporting, market abuse and the questions raised by the emergence of cryptocurrencies. The programme provides a full explanation of international regulations and guidance in the interpretation in real world situations.

For the first 3 months you can rotate through each department and for the next 6 months you can choose a specific department to work in and truly hone your skills and experience.

OUTCOMES

  • To be fully familiar with different global regimes and to understand relevant country specific regimes such as the UK whereby, for example, MIFID2 has changed the landscape since 2018.
  • To understand how all institutional SOP’s are governed by local regulatory regimes – from trading and investing through to marketing and sales and everything in between.
  • To get first hand experience of dealing with the regulatory requirements in the area of specialisation chosen by the individual coming into Global Career Accelerators.
  • To have a broad awareness of the career opportunities in compliance and regulation and to understand the level of awareness required for operating in all areas of institutional finance and markets.

DAILY TASKS

  • Monitor internal systems and procedures in our Multi Strategy Asset Management Accelerator to ensure adherence to compliance’s SOPs.
  • Review marketing literature to ensure compliance with FCA regulatory requirements for promotional activities.
  • Work on some of our RegTech projects such as external trade reporting applications.
  • Be part of an internal trade surveillance team.

Life is a marathon, not a sprint -life is all about dealing with people and people are all different – never stop learning (ageing starts when you stop learning!)

Keith Clarke, Director and Compliance Officer