Compliance Analyst

Role Summary:

The candidate will join the Compliance team to assist with the regulatory oversight and control of the company’s regulated and non-regulated activities. The company is predominantly involved in trading and broking exchange traded derivatives across exchanges such as the LME, ICE and CME.

This is a broad role with a particular focus on the following attributes - central compliance (i.e. preparation of management information, managing policies and procedures, keeping compliance logs, and regulatory reporting) and performing reviews as part of the compliance monitoring programme and KYC/AML controls.

The opportunity which will give the candidate excellent first-hand experience to learn different compliance disciplines and opportunities to get involved with business matters from the outset. Training will be provided depending on experience and in line with company policy.

Key Responsibilities:

• Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme (‘CMP’), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
• Helping to update the CMP following any changes to the business, regulatory updates, or as part of a periodic review;
• Monitoring of trade surveillance alerts and e-communications using software to identify and manage exceptions that could be indicative of market abuse, or inappropriate conduct by the company or its clients.
• Managing client and dealer on-boarding and documentation and KYC enquiries;
• Performing AML/KYC reviews periodically per all clients, vendors and associated persons, including ongoing monitoring and ongoing screening;
• Ensuring that the company is meeting its reporting obligations to relevant regulators per the company reporting schedule;
• Reviewing policies and procedures to ensure that they are fit and proper, and advising staff of material changes;
• Maintaining compliance policies, procedures, records and general record-keeping (e.g. breach register, PA dealing notifications, OBI etc);
• Assisting with enquiries from an exchange or a relevant regulator;
• Preparation of management information for executive committees or other relevant stakeholders;
• Ensuring that training is provided to all relevant staff and tracking participation;
• Assisting HR with managing regulatory registrations with the FCA and NFA;
• Working closely with other departments such as Risk, Legal and Operations and Compliance team or other internal stakeholders where necessary to support any of the above.

Key Skills:

• Working with relevant stakeholders to investigate and resolve exceptions arising from compliance monitoring.
• Ability to multi-task and work independently and reliably.
• Articulating findings in a clear and concise manner.
• Demonstrating perseverance and tenacity to get the job done.

Requirements:

• 3 years or more experience of working in UK/EU financial services compliance preferably from an exchange, broker or firm, involved in trading exchange traded derivatives;
• Experience of handling tests from a compliance monitoring programme and AML framework, and managing updates.
• Strong written and verbal skills to produce reports, following up on action points or enquiries;
• Preference for someone who has knowledge or experience of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting);
• Should be able and willing to work independently, reliably and demonstrate initiative;
• Ability to work under pressure and meet tight deadlines;
• Must be fluent in English (verbal and written).
• Foreign language (in addition to English) useful but not essential.
• Must have relevant credentials and authority to work in the UK.

Salary up to £45,000 pa. Please only apply if you meet the criteria above.

We are not looking to engage with agencies for this role at present.