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Job Specification

Compliance Analyst - Securities Trading Experience Required

£40K - £45K + Benefits & Bonus | West End
Ref: 3384J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our Client, a leading Broker Dealer is looking to recruit for a Compliance Analyst. Reporting to the Head of Compliance, duties will include:

  • Day to day operation aspects of the Compliance function for the business to ensure that Compliance operates in an organised, controlled and effective manner.
  • Assist in ensuring the establishment and maintenance of the Compliance assurance programme, including a proportionate and appropriate Compliance monitoring and review programme.
  • Ensure that Compliance maintains appropriate systems, policies, processes and controls to enable it to operate efficiently and effectively, in a manner designed to support and protect the business
  • Assist in the maintenance of the regulatory risk assessment for the business and to establish, maintain and advise upon polices, processes and records designed to manager, mitigate and/or avoid regulatory risks.
  • Assist in conducting and responding to investigations / reviews, as and where required.
  • Ad Hoc project work as required.

The ideal candidate should be a graduate with at least 2 years general compliance experience from a securities trading environment.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 


The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

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