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Compliance Analyst

2 weeks ago

London ECM, United Kingdom Peel Hunt LLP Full time £35,000 - £55,000 per year

ROLE SUMMARY AND DEPARTMENT OVERVIEW:

The Compliance Analyst is a generalist role with exposure to multiple areas of the Compliance. The main responsibilities include providing assistance with Communication Surveillance, Routine Monitoring, assisting with Control Room activity and managing routine notifications to relevant regulators.

The role sits within the Compliance Function, which is part of the Compliance Department. The individual will report to the Head of Public Side Compliance and will work alongside other compliance team members. There is an opportunity to learn across multiple areas of the business and the workstreams will be varied.

RESPONSIBILITIES:

  1. Have an understanding of the regulatory environment, values and abilities consistent with the FCA conduct rules.

  2. Responsibility for carrying out surveillance activities in relation to market misconduct:

  3. Reviewing alerts of communications generated by Global Relay to look for potential market abuse, bribery and other risks by clients or staff.

  4. Assisting with the gathering of information for potential Suspicious Transaction and Order Reports (STORs).

  5. Reviewing communications across multiple channels and escalating where necessary.

  6. Provide support to the control room, including:

  7. Assisting with personal account dealing and wall-crossing requests.

  8. Receiving inbound market soundings from external firms.
  9. Drafting and submitting Form 8.5s/8.7s and communicating with the Takeover Panel.
  10. Submitting routine notifications to the FCA and LSE.
  11. Assisting with conflict of interest checks.
  12. Maintaining Restricted/Watchlists.

  13. Dealing with ad hoc queries.

  14. Assisting with the roll out of Compliance training to staff members.

  15. Assisting with record keeping and policy maintenance.

  16. Assisting with preparation of regular reports, including for the Head of Group Compliance.

Key Capabilities and Knowledge:

  • Previous compliance experience related to Equities Trading.
  • Previous experience working in a Control Room.
  • Previous experience in Communications Surveillance desirable.
  • An understanding of FCA rules and relevant regulations.
  • Ability to work independently and support the Compliance team as required.
  • Effective communicator both orally and in writing.
  • Knowledge of Fidessa (or other trading platforms) and Bloomberg desirable.
  • Competent Microsoft Excel and Word.

Role Competencies:

  • Organised
  • Problem Solving
  • Team Player