For Recruiters

Compliance Analyst

Tradition London, United Kingdom
Posted 5 days ago Hybrid Permanent £50,000 - 70,000
I
Posted by
Ian Filmer
Head of Talent Acquisition
Tradition is currently seeking to appoint a proactive and highly motivated Compliance Monitoring Analyst to be based within the London office, working for a fun, diverse team. Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people.

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)

 

Job ID  CA
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