Compliance Analyst Compliance Analyst …

Morgan McKinley
in London, England, United Kingdom
Temporary, Part time
Last application, 14 Jul 19
Morgan McKinley
in London, England, United Kingdom
Temporary, Part time
Last application, 14 Jul 19
Compliance Analyst
Trade Surveillance Compliance Officer, 3-month FTC, London (Canary Wharf). Immediate start, with potential to go permanent.


3-month FTC, London (Canary Wharf). Immediate start, with potential to go permanent.

Key member of the Compliance team focusing on capital markets, but also touching other areas of compliance. Communication and trade surveillance activities are central to the role. Also responsible for researching and/or responding to requests from the UK regulators surrounding equities trading, providing compliance advice when necessary. Previous experience in working with the Actimize monitoring and surveillance system is a plus.

Background / Context: This hire is important to the continued development in the UK Capital Markets Compliance area

MAIN RESPONSIBILITIES: UK Capital Markets Compliance Advisory:

* Provide compliance advice and support the fixed income / equities sales and trading businesses, covering areas such as Exchange listed trading, operational trade research, Trade and Transaction Reporting, market conduct issues; research restrictions, and the management of conflicts in conjunction with the Control Group;

* Provide compliance input into business development projects, from the introduction of new system infrastructure to new product/jurisdiction business initiatives;

* Involvement in wider Equities Compliance projects and issues across the equities product group and investment banking and finance;


* Development and maintenance of internal compliance policies and procedures reflecting regulatory changes and developments at regulators and exchanges;

* Production of compliance alerts on significant regulatory events and areas of focus;


* Assisting with thematic desk reviews;

* Resolution of Exchange, regulatory and internal investigations and enquiries;

* Key tasks: Input of data into the surveillance model; investigation of identified issues; review of targeted business areas/practices against internal procedures and external regulatory framework; production of review reports identifying issues and proposing remedial action;

Surveillance and Best Execution:

* Daily communications and transaction surveillance duties;

* Ongoing technical development of the conduct risk, market abuse and best execution frameworks.


* Production of training presentations and supporting materials (for example, desk laminates);

* Delivering face-to-face training to trading desks and involvement in firm wide Equities floor training.



* Direct experience of using monitoring and surveillance system (NiCE Actimize is a plus);

* Direct experience supporting Sales and Trading activity required with general Equities, Fixed Income and Compliance exposure; *

Analyst level, with a proven track record of approximately two (2) plus years compliance experience in an investment firm, regulatory body, exchange or similar;

* Some knowledge of local regulatory, exchange and internal control requirements;

* Experience working with the Fidessa Order Management System would be a plus.


* Experience of best execution monitoring a plus.

* Experience in working with FX derivatives a plus;

* Knowledge of MiFID trade and transaction reporting a plus.



* Some knowledge of regulatory, exchange and internal control requirements;

* Excellent interpersonal skills, solution driven, enthusiastic, confident, organised, team player but able to operate under their own initiative;

* Computer savvy, well spoken, excellent writing skills;

* Being able to multi-task, work under pressure and simply putting in the required time and effort to get the job done;

* Comfortable working on the trading floor and interacting with front office on technical matters;

* Proficiency in Bloomberg a plus

Morgan McKinley is acting as an Employment Business in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.