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Compliance Monitoring & Surveillance Analyst

  • Location: London
  • Salary: £50,000-£60,000
  • Job type: Permanent
  • Job reference: 166497
  • Sector: Banking , Banking
Job Description

My client is an independent, specialist, institutional securities firm which provides primary and secondary fundraising, Nominated Advisor services, corporate finance advice and market making to growing companies across a wide range of industry sectors. The principal activity is institutional stockbroking, and it is an AIM listed firm.


They are seeking a Compliance Monitoring & Surveillance Analyst to sit within the Compliance team and provide assurance to the business on its systems and controls, specifically in relation to market abuse. Your key responsibilities will include monitoring my client's compliance with laws and regulations, executing surveillance activity, conducting tests in line with the Compliance Monitoring annual plan and producing subsequent reports. Building relationships with all areas of the business is fundamental from Front Office and reporting breaches to Head of Compliance, to maintaining stakeholder engagement.


Skills required are to have a sound understanding of the organisation's structure and business areas (including Corporate Finance, Corporate Broking and Trading). Knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR etc and associated statutory legislation including UK Money Laundering Regulations, Bribery Act.


You will ideally have 2 years experience in trade surveillance, monitoring and cash equities in investment banks or brokerages, but they are open to a broad range of backgrounds. This is an exciting opportunity for a junior to join a great business and develop within compliance.


The expected salary will be £50,000-£60,000 + benefits,

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