Financial Regulations Analyst

3 weeks ago


London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Analyst Job Description

We are seeking a Compliance Analyst to join our team in London. The successful candidate will be responsible for monitoring and reporting on compliance-related matters, including BEST execution outlier monitoring and improvements.

Estimated salary: £55,000 - £75,000 per annum.

Key Responsibilities
  • BEST Execution Outlier Monitoring and Improvements using LiquidMetrix
  • Investigating Market Abuse Escalations, with initial case loads outsourced
  • Bloomberg Vault Communications Monitoring and Escalation Point
  • Providing Committee MI on Market Abuse
  • Market Soundings and Gatekeeper Processes
  • Regulatory Disclosures - Major Shareholding, Takeover Panel, Short Positions
  • Fund Manager Change in Control Checks
  • PA Dealing and Gifts & Hospitality Approvals
  • Broker Take-on Process
  • Compliance Monitoring Thematic Reviews as Required
  • Project Work as Required
  • Supporting Investment Guidelines Daily Work and Projects as Required
Requirements
  • Number of years in asset management or comparable financial services roles
  • Strong written communication skills and experience of report and policy writing
  • Technical and practical expertise of fund regulations and their application
  • Knowledge of products offered by the firm and importance of being a regulated firm as applicable to the role
  • Good understanding of FCA's Senior Managers and Certification Regime and how it applies to the role
  • Understanding of rules, regulations, policies, and procedures as set out in Compliance Manual


  • London, Greater London, United Kingdom Black Swan Group Full time

    Financial Regulations Analyst Job Opportunity:Black Swan Group is seeking a skilled Financial Regulations Analyst to join our Compliance team. As a key member of the team, you will be responsible for maintaining and enhancing the firm's compliance programme.Main Responsibilities:Analyse and interpret complex financial regulations, including AIFMD and other...


  • London, Greater London, United Kingdom NCAA (National Collegiate Athletic Association) Full time

    About the RoleWe are seeking a skilled Financial Regulations Analyst to join our team at Goldman Sachs. As a key member of our Markets Surveillance Compliance division, you will play a critical role in developing and executing our trade surveillance program.This position requires a Bachelor's Degree and an interest in compliance laws, rules, regulations,...


  • London, Greater London, United Kingdom cer Financial Ltd Full time

    Financial Risk AnalystCer Financial Ltd is seeking a skilled Financial Risk Analyst to join their team in the City of London. The ideal candidate will have a solid understanding of exchange regulations and be able to evaluate personal account dealing confirmations.Key Responsibilities:Continuous monitoring of market activity through internal systems,...


  • London, Greater London, United Kingdom Illinois CPA Society Full time

    **Job Title:** Financial Regulations SpecialistWe are seeking a highly skilled Financial Regulations Specialist to join our team at the Illinois CPA Society. As a key member of our team, you will be responsible for ensuring compliance with CFTC regulations and maintaining operational efficiency.About the Role:The successful candidate will have proven...


  • London, Greater London, United Kingdom cer Financial Ltd Full time

    Job OverviewThe Senior Tax Analyst supports the Head of Accounting for Tax function within the Finance team, playing a key role in shaping the organization’s financial landscape. This is an excellent opportunity to utilize technical expertise and collaborate with a growing Finance team.This senior-level position involves developing and implementing a...


  • London, Greater London, United Kingdom Mason Blake Full time

    A thriving investment management house is looking for a Senior Investment Compliance Analyst to join their team in London.Job OverviewThe successful candidate will be responsible for implementing and reviewing investment compliance rules and regulations, overseeing daily monitoring of pre and post trade compliance, managing investment operational risk...

  • Financial Analyst

    4 weeks ago


    London, Greater London, United Kingdom Financial Staffing Solutions Full time

    Job OverviewWe are seeking a highly skilled Financial Analyst to join our team at Financial Staffing Solutions. As a dynamic and rapidly expanding accountancy practice, we offer a fantastic opportunity for an ambitious accountant to develop their career in a well-established company.Key Responsibilities:Preparation, interpretation and review of management...

  • Financial Analyst

    3 weeks ago


    London, Greater London, United Kingdom Vitae Financial Recruitment Limited Full time

    We are seeking a skilled Financial Analyst to join our team at Vitae Financial Recruitment. This is an exciting opportunity for a motivated individual to develop their skills in a dynamic and growing company based in London.The role offers a great work-life balance with Mondays to Thursdays in the office and Fridays working from home.As a Financial Analyst,...


  • London, Greater London, United Kingdom Vitae Financial Recruitment Full time

    We are seeking a talented FP&A Analyst to join our high-performing team. As a key member of our finance team, you will be responsible for assisting with processes for budgeting, forecasting, and reporting of actual financial results.Key Responsibilities:Assist in the preparation of financial models and reportsProvide detailed analysis to support operational...

  • Financial Manager

    2 weeks ago


    London, Greater London, United Kingdom Bruin Financial Full time

    Are you an experienced finance professional seeking a challenging role in regulated reporting? We are currently assisting a well-known Lloyd's and London Insurance Company recruit an accomplished Finance Manager for their busy London Head Office.This firm has employee wellbeing at the forefront of everything they do to ensure that they offer a strong...

  • Financial Analyst

    6 days ago


    London, Greater London, United Kingdom Aether Financial Full time

    Aether Financial is seeking a highly skilled Financial Analyst to join our team in London. As a key member of our finance team, you will be responsible for analyzing financial data, identifying trends, and providing insights to inform business decisions.The ideal candidate will have a minimum of 3 years experience in a similar role, preferably in the music...

  • Financial Analyst

    2 weeks ago


    London, Greater London, United Kingdom The Recruitment Co Full time

    Job Title: Financial AnalystAt The Recruitment Co, we are seeking a skilled Financial Analyst to join our team. As a key member of our finance department, you will be responsible for preparing financial statements, managing accounts payable and receivable, and ensuring compliance with relevant regulations.About the Role:Prepare financial statements,...


  • London, Greater London, United Kingdom Financial Conduct Authority Full time

    Senior Cybersecurity Analyst Job DescriptionWe are seeking a highly skilled Senior Cybersecurity Analyst to join our team at the Financial Conduct Authority and contribute to the ongoing efforts in assessing and improving the cyber security posture of the organisation.The ideal candidate will possess a strong understanding of cyber assurance practices,...


  • London, Greater London, United Kingdom Bruin Financial Full time

    Job Description:">We are seeking a Financial Services Risk Analyst to join our team at Bruin Financial in London. As a Financial Services Risk Analyst, you will be responsible for assessing the effectiveness of the businesses control environment and adherence to policies & procedures.Key Responsibilities:Direct, review & challenge performance of the Risk &...

  • Financial Regulator

    6 days ago


    London, Greater London, United Kingdom WeAreTechWomen Full time

    About the RoleWe are seeking a skilled Financial Regulator to join our team. In this role, you will be responsible for ensuring that our firm meets all financial control and reporting obligations as a global, regulated, and public financial institution.ResponsibilitiesYou will measure the profitability of and risks associated with every aspect of our...


  • London, Greater London, United Kingdom AKPC Accounting Full time

    Job Description: Financial Data AnalystAkpc Accounting is seeking a skilled Financial Data Analyst to join our team. The ideal candidate will be responsible for preparing and filing tax returns for individuals and businesses, ensuring accuracy and compliance with tax regulations.Duties:Analyze financial data and records to ensure accuracy and...


  • London, Greater London, United Kingdom Eames Consulting Full time

    About Eames ConsultingEames Consulting is a leading consulting firm specialising in financial regulations. We provide expert advice and guidance to clients across various industries. Our team consists of highly experienced professionals who have a deep understanding of financial regulations and risk management.We are currently looking for a Prudential...


  • London, Greater London, United Kingdom Financial Conduct Authority Full time

    Job DescriptionWe are looking for a skilled Wholesale Markets Analyst to join our team at the Financial Conduct Authority. In this role, you will monitor continuous trends and developments in wholesale banking and markets, providing sophisticated insights and briefings to colleagues.You should have a strong analytical understanding of wholesale banking...


  • London, Greater London, United Kingdom Charles Tyrwhitt Full time

    Job DescriptionWe are looking for a highly experienced Financial Compliance Analyst to join our team at Charles Tyrwhitt.As a Financial Compliance Analyst, you will work closely with Kristina from our Finance team to ensure accurate and timely financial reporting.You will have strong technical experience in tax departments, audit firms, or accounting teams.A...


  • London, Greater London, United Kingdom RCQ Associates - Financial Markets Specialists Full time

    Job Title: Financial Markets AnalystA highly skilled Data Analyst with capital markets experience is sought by RCQ Associates to assist clients with their reporting obligations.The successful candidate will have opportunities for career advancement and work in a healthy environment. Regular office presence, a minimum of 2 days a week, is required.Key...