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Compliance Analyst - Securities

  • Location: London
  • Sector: Compliance
  • Salary: Up to £45000 per annum + Bonus
  • Job type: Permanent
  • Date posted: 21/01/2018
  • Job reference: 27690
This vacancy has now expired.

Key Responsibilities

  • Oversee the compliance monitoring programme and perform monitoring and surveillance reviews in line with the CMP
  • Assisting with transaction reporting and trade surveillance
  • Undertaking staff induction training
  • Overseeing the FCA registration and de-registration processes
  • Assisting with and managing projects to implement new regulations, both FCA and EU regulations
  • Dealing with ad hoc enquiries from the business
  • Assisting with the account opening process
  • Maintenance of internal registers: gifts, PA dealing etc


  • At least two years experience in a regulatory compliance function within a securities business
  • A thorough knowledge of UK and European regulation applicable to the business
  • A good understanding of the LSE Rulebook
  • Familiar with Fidessa and Bloomberg
  • A good understanding of transaction reporting is desirable

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