Senior Compliance Analyst, London

Main Duties and Responsibilities

  • Support Head of Compliance in all respects
  • Monitor and assess the effectiveness of systems and controls, in line with regulatory requirements
  • Identify and implement plans for the remediation of weaknesses and deficiencies
  • Maintain a thorough understanding of relevant regulatory requirements to provide advice and guidance across the firm.
  • Ensure compliance responsibilities are taken seriously, and a compliant culture is embedded within all levels of the business

Key Activities

  • Accurate and comprehensive recording as well as actioning of key metrics: vulnerable clients, fraudulent applications and clients, STRs, STORs and SARs, sanction and PEP (and adverse media) screening, etc
  • MiFIR and EMIR trade and transaction reporting
  • Financial Promotions, including FAQs and webpages
  • Assist with Compliance Monitoring Programme, in particular: Best Execution, MiFIR and EMIR reporting, AML monitoring
  • Identify and implement plans for the remediation of weaknesses and deficiencies
  • First point of contact for all compliance, funding, IBs/ Affiliates, AML, HVC, Schufa and Account Opening related escalations, enquiries and approvals
  • Administer the online e-training regulatory courses
  • Complaint Handling
  • Advise and assist business units to provide for effective systems and controls in relation to operational risks
  • Advise and assist business units to enhance their policies and procedures to reduce or mitigate against regulatory operational risks
  • Periodic risk analysis reviews and risk assessments

Qualifications and Experience

Must have Best Execution monitoring experience and Trade Reporting experience 

  • Degree educated
  • 3 – 5 years compliance experience in the same sector, with experience of Best Execution monitoring and oversight of MiFIR and EMIR trade and transaction reporting mandatory
  • Dynamic, problem solving and pragmatic
  • Attention to detail, organised and customer focused with effective time management skills
  • Strong oral and verbal communicator, plus analytical skills
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