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Compliance Analyst - Financial Markets

60k (To be Pro-Rated for initial 3 month contract)
Full Time
Greater London
06-10-2020 04:56 PM


We’re presently recruiting a  Compliance Analyst at a diverse financial markets firm  


The role will be a mixture of monitoring and advisory offering the successful candidate the chance to gain a broad experience of financial markets , products , business models and jurisdictions


Key Responsibilities 

  • Monitor the firm’s regulatory compliance  
  • Maintain  the Compliance Manual, policies and procedures and compliance registers.
  • Prepare  compliance reports for various management committees and attend meetings as required to address compliance issues.
  • Advise the business on compliance matters and to highlight and/or escalate any areas of concern. 
  • Monitor changes in regulations and how these may affect the Firm.
  • Ensure that compliance and regulatory risks within the business are identified, assessed and managed.
  • Review marketing documentations, newsletters and advertising.
  • Ensure appropriate Compliance training is provided to the Business.
  • Monitor Firm’s internal systems and control to ensure it meets its regulatory obligations.
  • Conduct on-boarding due diligence for clients and counterparties.


  • It will be essential to have at least 3 years of financial services compliance experience.
  • Good working knowledge of the UK regulatory framework.
  • Preferably to have a professional compliance qualification, or working towards one.
  • Educated to degree standard, with legal knowledge a plus.

Fergus Hooley


07425 325267