Senior Compliance Analyst

London (Central), London (Greater)
10 Sep 2018
10 Oct 2018
Contract Type
Full Time

One of Europe’s leading Investment Mangers is looking for a Senior Analyst to join the Compliance team. This is a dynamic team and therefore requires someone bright and switched on.

The role will report directly into the Divisional Head of Compliance and will also work closely with the Group Head of Compliance.


Responsibilities in the operation of trade surveillance and price sensitive information controls

Advice, guidance and review in respect of employee personal conduct responsibilities (such as personal account dealing, gifts & hospitality and conflicts of interest).

Providing support to the business, global compliance teams and employees on the use of the automated Compliance conduct tool.

Supporting the administration of sensitive information within the firm.

Overseeing and supporting the performance of surveillance tests on first line controls in respect of order/best execution processes, market abuse prevention and conflicts of interest.

Assisting the Compliance Advisory area on operational aspects of policy implementation and further development of the controls environment.

Contributing to well-written, coherent and succinct reports as required and appropriate for circulation to senior stakeholders.

Provision of training and transferring expertise about market conduct and surveillance

Establishing and maintaining constructive relationships within relevant business areas and build strong relationships with and provide support to other Compliance team members.

Making regulatory applications and reports using relevant FCA systems (e.g. FCA Connect system).

Providing subject matter support to the Head of Central Compliance and the Global Head of Compliance Operations.


Generalist Compliance Experience

Experience in compliance monitoring.

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