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Job Specification

Compliance Analyst - Securities Trading Experience Required

£55K to £70K + Benefits + Bonus | City
Ref: 3440R2

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

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.
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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