Compliance Analyst

2 weeks ago

London, Greater London, United Kingdom Larson Maddox Full time £40,000 - £50,000 per year

Our Client is seeking a proactive and detail-oriented
Compliance Analyst
to join our boutique investment bank in London. This role is ideal for someone with a strong foundation in equities trading compliance and a keen interest in regulatory frameworks. You will work closely with the Compliance team to ensure adherence to FCA regulations and internal policies, supporting the bank's commitment to integrity and transparency.

Key Responsibilities

  • Equities Trading Compliance:
    Monitor and review trading activities to ensure compliance with regulatory requirements and internal standards.
  • Control Room Operations:
    Assist in managing the flow of sensitive information, maintaining watch lists, and handling restricted lists.
  • Communications Surveillance:
    Conduct surveillance of electronic communications to identify potential breaches or misconduct.
  • Regulatory Compliance:
    Interpret and apply FCA rules and regulations, providing guidance to business units as needed.
  • Platform Oversight:
    Ensure compliance across relevant trading platforms, including monitoring for market abuse and reporting obligations.
  • Prepare compliance reports and escalate issues promptly.
  • Support ad hoc compliance projects and audits.

Requirements

  • Experience:
    1-2 years in a compliance role within financial services, preferably in an investment banking environment.
  • Technical Skills:
    Familiarity with equities trading platforms and compliance monitoring tools.
  • Knowledge:
    Strong understanding of FCA rules and UK regulatory landscape.
  • Analytical Skills:
    Ability to identify risks and propose practical solutions.
  • Excellent communication and interpersonal skills.

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