Compliance Analyst - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Tradition is currently seeking to appoint a proactive and highly motivated Compliance Analyst within the London office, working for a fun, diverse team.

Roles on the Compliance Monitoring team offer a broad exposure to Compliance, from trade analysis for exchange investigations to working with Desk Heads on the trading floor.

Main responsibilities within the Compliance Analyst position include:

Registration of Traders on EUREX, CME, ICE and DMA via ABN AMRO clearing
Work on exchange investigations, as required
Oversight of Staff regulatory registrations both in the UK and overseas as necessary
Provision of relevant compliance advice to the Front Office
Phone and electronic communications monitoring
Market Abuse monitoring and Trade Surveillance using Scila and LiquidMetrix Surveillance Tools
Best Execution monitoring
Reviews and oversight of conflicts of interests including PA Dealing
Maintenance of Complaints and Breaches records
Preparation of miscellaneous data for management and the Compliance team including Quarterly Management Reporting and Surveillance trends and data
Undertaking reviews of policies and procedures in accordance with the Compliance Monitoring Plan
Analysis of trading information and data
Appreciation of Compliance Risk
General Compliance Administration duties
Some overseas travel may be required

Key skills, experience and competencies required in this role:

Motivated and proactive team player looking to gain broad experience in Compliance which would include dealing with stakeholders across the business
Good knowledge of the FCA rules, in particular COBS, SYSC, SUP and FIT
Understanding of European Directives and other regulatory rules
Good knowledge of the firms' products including cash equities and securities, equity and commodity derivatives and money markets
Good knowledge of cash and derivatives exchange rules e.g. Euronext, Eurex, LSE
Experience of dealing with formal documentation
Ability to read and understand regulatory rules, consultation papers and legal documents
Strong Excel skills (not required but good to have these skills)