Compliance Analyst
2 days ago
London
Compliance Analyst - Trading Platform / Financial Services Salary: £40k-£50k Location: London Employment Type: Full-time Experience: 1+ years About Us We are a fast-growing multi-asset trading platform, providing clients access to a broad range of markets through a secure, transparent, and innovative environment. Compliance is central to how we operate, ensuring our activities meet regulatory standards while supporting responsible growth. We are looking for a motivated Compliance Analyst with 1–3 years of experience to strengthen our monitoring, oversight, and controls across multiple asset classes. Key Responsibilities • Trade Surveillance: Monitor trading activity across multiple asset classes (e.g., equities, FX, derivatives, fixed income, digital assets) to identify potential market abuse, manipulation, or breaches of trading rules., • Regulatory Oversight: Support the design, implementation, and maintenance of compliance policies and procedures in line with FCA and other relevant regulations., • Monitoring Programme: Assist in periodic compliance reviews and testing to ensure effective controls are in place across different product lines., • Policy & Guidance: Help draft and update compliance manuals, desk procedures, and guidance documents tailored to a multi-asset environment., • Regulatory Reporting: Support the preparation and submission of regulatory reports, including transaction reporting, as required., • Advisory Support: Provide first-line compliance support to trading, operations, and technology teams, escalating issues as appropriate., • Registers & Record-Keeping: Maintain accurate compliance registers (e.g., breaches, conflicts of interest, gifts & entertainment). Requirements • 1–3 years’ experience in a compliance, regulatory, or surveillance role within financial services., • Good understanding of FCA rules and conduct requirements (e.g., MAR, COBS)., • Familiarity with trading platforms and order flows across multiple asset classes is highly desirable., • Experience with surveillance or monitoring tools advantageous., • Strong analytical, organisational, and problem-solving skills with close attention to detail., • Excellent communication skills, able to work effectively with stakeholders across business lines., • Comfortable operating in a fast-paced, dynamic trading environment. What We Offer • Exposure to a cutting-edge multi-asset trading environment., • Hands-on experience across different products and markets., • Opportunities for professional development and progression., • Competitive salary and benefits package., • A collaborative and ambitious culture with responsibility from day one.