Compliance Monitoring Analyst

A leading brokerage is seeking a Compliance Monitoring Analyst to join its growing Compliance Team. This opportunity is a growth hire aimed at supporting the Head of Compliance and the wider team as the firm continues to bolster its compliance function. Responsibilities Conduct monitoring reviews on specific thematic topics where compliance or regulatory risks exist, report findings to Compliance management, recommend steps for mitigation, and action follow-ups with relevant stakeholders. Review, develop, and update policies, procedures, and processes to align with regulatory standards. Contribute to other compliance policy reviews and compliance projects, engaging with relevant stakeholders as needed. Assist in responding to exchange and regulatory enquiries or requests. Experience Proven compliance experience in an FCA-regulated firm (Investment bank, brokerage, trading house, etc.) Fixed income or commodities experience is preferred but not essential Familiarity with the regulatory requirements of trading exchange Demonstrated ability to communicate and interact effectively with front-office sales and trader Sound written and spoken communication skills

Location: London, GB

Posted Date: 1/21/2025