Compliance Analyst | Securities | Up to £60k + bonus

This role is ideal for someone with approximately 1-4 years of compliance experience in a small-mid sized function. The position will focus on UK and EU regulatory requirements including horizon scanning and executing the annual compliance monitoring plan, compliance monitoring, prudential & regulatory reporting and other generalist tasks.

Client Details

Our client is a boutique securities firm who are currently facing significant growth. They play a key role in supporting market stability by ensuring liquidity across various financial instruments for institutional clients.

Description

• Assist in the development and implementation of compliance frameworks and processes.
• Undertake continual horizon scanning and executing the annual compliance monitoring plan.
• Ensure effective operation of wall-crossing processes and assist with maintaining restricted lists.
• Review and assess financial promotions, advertising, marketing content, and customer communications for regulatory compliance.
• Support the preparation, review, and submission of various required regulatory reports.
• Support the Risk & Compliance department with the implementation of compliance frameworks and policies.
• Assist in the review of legal contracts and agreements as needed.

Profile

• 1-4 years compliance generalist experience in financial services.
• Strong understanding of UK and EU regulatory frameworks.
• A degree or professional qualification in law, finance, or a related field.
• Attention to detail and the ability to work with sensitive and confidential information.

Job Offer

• Salary ranging from £40,000 to £60,000 per annum, pending experience.
• Attractive bonus and pension scheme.
• Permanent role located in Central London with flexible working arrangements.
• Supportive company culture with a focus on delivering excellence.

If you are looking to advance your career as a Compliance Analyst in the financial services industry, apply now to take the next step in your professional journey.

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