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Job Specification

Compliance Contractor (Min 2 months) – Securities Trading Experience Required

£350 to £450 per day | City
Ref: 3440R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Contract

Our client, a leading Trading Platform provider, is looking to recruit a Compliance analyst to assist with regulatory oversight and control of the client’s regulated trading venues (MTFs) and post-trade services. Duties will include:
• Ensuring compliance with the appropriate rulebook of the client’s UK or EU trading venues and Data Reporting Service Provider activities and advising the business of the same
• Compliance and Financial Crime monitoring – including periodic KYC and AML reviews – using automated surveillance and assessments of surveillance alerts on the MTF.
• Monitoring changes to local regulations and assessing their impact on the regulated activities of the MTF and Data Reporting Service Provider
• Managing client and dealer on-boarding and documentation to include client and dealer transfers between markets in separate jurisdictions.
• Advising local sales teams on regulatory requirements for marketing, soliciting or providing access to the client’s platform elsewhere in the UK/EU (supporting legal advice).
• Maintain local compliance policies, procedures, records and general record keeping e.g. breach register, PA dealing notifications etc.
You should have direct experience of securities trading compliance regulation including MiFID 2 and a knowledge of MTFs/Electronic Trading. Immediate start. 
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at

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