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Trading & Monitoring Compliance Associate


Trading & Monitoring Compliance Associate
£40000 - £60000 (Dependant on experience) + Benefits
London (City)

Successful global Algo trading business. They have a newly created role which will provide development opportunities to the successful candidate. The role is an exciting opportunity in fast moving dynamic environment.



  • Minimum 2 years’ experience in handling compliance matters
  • Experience of a trading environment is essential (Experience with algorithmic trading is preferred.)
  • Coding experience is strongly desired for example Python.
  • Familiarity with Bloomberg useful.
  • Good Time Management.
  • Results Focused.
  • Relationship Management skills.

Reporting to the CRO, the role has three areas of focus which will involve a wide range of tasks:

  • Monitoring trades for compliance with local regulations.
  • Monitoring trading books for risk limit breaches for escalation.
  • Support the broader Risk and Compliance Team with ad-hoc tasks as may be required during less busy periods.

The tasks include:

  • Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
  • Work with CRO to maintain a compliance culture within the business.
  • Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.
  • Handle staff dealing approval, monitoring and review staff dealing-related reports.
  • Support disclosures of interest and other regulatory reporting and filing.
  • Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.
  • Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance.
  • Assist in other tasks assigned and ad-hoc projects including due diligence checks.
  • Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.

Please note sponsorship will not be provided by the employer.

Job Overview

Job Title:

Trading & Monitoring Compliance Associate

Rate / Salary:

40000 - 60000 GBP / MONTH


5 months ago

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