Compliance Analyst

£55,000 - £60,000

Canary Wharf

The Company

A mid cap firm with extensive coverage in emerging markets. Offices both on and off-shore it has an exceptionally collegiate and open culture. The business serves both institutional and private clients as well as governments. My clients coverage covers Equity and Debt Capital markets from vanilla product to more tailor made instruments.

The Role

Compliance analyst reporting to the Head of Compliance with an opportunity to cover all facets of compliance.

- Trade and Communication surveillance in Capital Markets

- Responding to queries from the regulators in conjunction with the Head of Compliance

- Advisory including DCM and ECM

- Developing internal compliance policies

- Frequent contact with Business Heads

- Thematic desk reviews

- Face to face training seminars as well as written material to ensure compliance with regulations

The successful candidate will have:

- Experience of using a monitoring and surveillance system

- Knowledge of regulatory requirements

- Experience within Financial Services

- Sound knowledge of Microsoft Office Suite

- Excellent interpersonal skills

- Strong written and verbal skills

- Team player but also able to work independently

- Solution driven