Compliance Analyst (Financial Markets)

Our client is a Futures and Options Traders and Brokers part of a large global corporation. They are looking for a graduate Compliance analyst who is used to working in a small firm and will have had exposure to a range of compliance functions. It is a very hands‑on, high‑quality small team.

Date: 11 Feb 2026Sector: FINANCIAL MARKETSType: PermanentLocation: LondonSalary: £42000 – 45000 per annumEmail: duncan@taylorjamesresourcing.comRef: DB06666

Key responsibilities include:

• Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
• Work relating to anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection.
• Conduct financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.
• Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
• Carrying out due diligence on third‑party outsourced service providers.
• Performing the department’s tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.
• Reviewing existing compliance policies and procedures and drafting amendments to new procedures, where required.
• Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification.
• Providing staff training on compliance matters.
• Completing and submitting returns and reports to the FCA and other authorities.
• Maintaining and updating databases.
• Preparing management information and reports to internal stakeholders.

Additional tasks include:

• Ad hoc research on FCA rules and laws and regulations affecting the firm.
• Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems.

Qualifications and attributes:

• Previous experience (approx. 2‑4 years) of working within a compliance/legal department is preferred. Financial services (regulated environment) experience would be advantageous.
• Passion for compliance and regulatory work and eagerness to learn from others and independently.
• Ability to demonstrate entrepreneurialism, initiative and common sense, with a very strong attention to detail and good writing skills.

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