My client, an investment brokerage company based in the City is looking for a Regulatory Reporting Monitoring Analyst to join their team on permanent basis!

The Role:

The succesfull candidate will monitor and ensure that Company's business is conducted in an appropriate manner and in accordance with Regulations - including Financial Services and Markets Act 2000, Exchange Rules and Company Policy.


  • Responsible for accurate reporting to Exchanges and FCA/Regulatory bodies, regarding large positions reporting and client identification reporting.
  • Responsible for accurate large trader reporting in accordance with CFTC Form102.
  • Responsible for maintaining accurate records and data in conjunction with regulatory reporting.
  • Responsible for monitoring and problem solving with regards to FCA Transaction Reporting.
  • To assist in Customer Complaints, where appropriate.
  • To assist, where necessary, with reporting of Suspicious Activity Reports and Suspicious Transaction Reports
  • To assist, where necessary, with Compliance KYC Audits and other Compliance related audits
  • To assist in Worldcheck/Sanction Screening Analysis with Compliance KYC Audits and other Compliance related audits
  • Responding to Annual and Adhoc Information Requests from Exchanges and other bodies


  • Minimum 5 years of industry products (securities, futures, options etc.) experience.
  • Exchange experience gained from within a Compliance/KYC/Audit environment.
  • Understanding and previous involvement with regulatory reporting.
  • Good understanding of AML/KYC procedures.
  • Knowledge of FATCA and CRS would be an advantage.