Compliance Associate Milano

Compliance Associate
Milano
Lombardia, Milano

Roots Funding "RF" is a global fundraising and investment lead by technology marketplace; democratizing private markets by connecting high-potential startups, SMEs and ventures with investors regionally and globally.

Our platform spans real estate, fintech, med-tech, space-tech, innovation and all sectors whilst providing value-added services to help businesses thrive globally.

We're committed to fostering an ecosystem by offering equity or debt products where investors and entrepreneurs align on values and drive economic growth together.

Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role.

The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. The mandate of the RF is to foster a culture of integrity, ethics, and compliance and deliver independent risk management and oversight of regulatory compliance risk and conduct risk throughout The Roots Funding and its subsidiaries globally (RF), to protect our reputation and operate within our risk appetite. Department Overview:The mandate of the RF Compliance Department is to manage compliance risk across RF globally to align with the policies established and approved by the RF Board of Directors' Audit and Risk Committees.

It is the Compliance Department's responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated.

Compliance Department responsibilities generally are to advise, monitor, and escalate. Think like a customer; provide legendary experiences and build a trusted brandAct like an owner; lead with integrity to drive business results and contribute to communitiesExecute with speed and impact; only take risks we can understand and manageInnovate with purpose; simplify the way we workDevelop our colleagues; embrace diversity and respect one anotherIf you can find clarity inside complexity, have a keen eye for research and a passion for procedure, this job is for you.

The Compliance team assists various RF lines of business to understand regulations applicable to their departments, while also ensuring everyone implements policies and procedures to manage their unique compliance risks.

We also conduct ongoing monitoring and testing. Make an Impact:Use your strong communication, analytical and problem-solving skills to add value to each business side you're assignedProvide a range of research, analysis, advisory and operational support to internal team members and/or business groups on compliance matters and related program risksDefine opportunities for continued enhancements to departmental processes and make recommendations within assigned areas of responsibilityExperience Growth:Build a diverse skill set, implement process improvements and develop the confidence to tackle challenging tasks in an entirely new area of each line of business rotationReceive feedback and mentorship from senior management.

You'll connect with senior management and gain valuable experience from experts at the top of their game who can help you develop your leadership skillsInteract with other staff to share learnings and network within the organizationJob RequirementsWhat You Need to SucceedWe're proud to work with a group of diverse colleagues.

If you have relevant experience that isn't mentioned below, tell us about it in your resume or cover letter.

Responsibilities include, but are not limited to:Proficiency in Microsoft Office Suite (Excel, Access, Tableau, Power Point, Power Pivot)Strong conceptual, analytical and problem-solving skills; can see the "big picture" in a complex or ambiguous environmentAbility to develop solid business relationships with clients, business partners, stakeholders and assist on ad-hoc Compliance projects and initiatives. Well organized; can prioritize multiple tasks and deliver results on multiple deadlines in a fast-paced environmentStrong communicator with the ability to impact and influence others; demonstrated presentation skillsAbility to handle confidential information with discretion and testing the design and effectiveness of business controls. Desire to work in a caring, respectful and inclusive environment where all employees are supportedThis individual will be responsible for core activities including Monitoring & Testing, Regulatory filings, participating in local and global initiatives and other core compliance tasks as needed. Participate in the compliance risk assessment exercise and communicate deficiencies to the business. Assist with developing the annual monitoring & testing planDetermine scope of reviews; build detailed review steps and organize documentary evidence of review;Execute tests and write summary report to document exceptions and action plansOversee remediation of gaps identified in the testing process. Build relationships with key stakeholders locally and globally.

Knowledgeable of regulations and financial industry best practices;Have the ability to conduct regulatory research and understanding of internal controls framework. Educational and additional Requirements:• Completed an Undergraduate degree or Masters in our business-related field• Minimum of 3-5 years of demonstrated relevant experience in the industry. • Problem solving skills, the ability to work independently and prioritizing to manage tasks efficiently and timely• Strong oral and written communication skills. • Ability to build and maintain professional relationships with internal and external parties. • Audit or Controls experience a plus and understanding of regulatory rules. • Regulatory experience a plus. We are looking forward to add creative, innovative and hard-working team players, who would like to grow with us by using innovative financial technologies. Interview ProcessWe'll reach out to candidates of interest to schedule an interview.

We do our best to communicate outcomes to all applicants by email or phone call.

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