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Trade Compliance Analyst

2 months ago

London, Greater London, United Kingdom William Rose Associates Full time

Company Overview

William Rose Associates is collaborating with a prominent trading firm seeking a dedicated professional to join their team as a Trade Monitoring and Surveillance Analyst.

Key Responsibilities

In this role, you will support the Trade Monitoring Surveillance Manager in conducting daily evaluations of reports and data to ensure compliance with legal and regulatory standards, particularly concerning Market Abuse. Your contributions will be vital in executing the compliance monitoring strategy and delivering outstanding service to internal stakeholders.

Essential Qualifications

  1. Minimum of 1 year of experience in Trade Monitoring or Surveillance within a brokerage or banking context.
  2. Familiarity with Market Abuse Regulations and an understanding of industry practices and standards in the securities or investment banking sectors.
  3. Knowledge of UK FCA regulations is preferred.
  4. Insight into financial markets is advantageous.
  5. A solid grasp of compliance duties, practices, and procedures within the securities sector.
  6. Experience with Bloomberg is beneficial.

Preferred Skills

  1. Ability to engage confidently with senior stakeholders.
  2. Excellent communication abilities.
  3. Strong time management skills.

Collaboration and Teamwork

You will collaborate closely with the Head of Compliance, MLRO, and the Group Compliance Officer to maintain high standards and contribute to the overall effectiveness of the Compliance Team.

If you are enthusiastic about compliance and possess a meticulous attention to detail, we encourage you to consider this opportunity.