At a Glance
- Tasks: Monitor trade activities and ensure compliance with market regulations.
- Company: Reputable trading firm known for its dynamic environment.
- Benefits: Competitive salary, professional development, and a collaborative team culture.
- Other info: Opportunity for career growth in a fast-paced industry.
- Why this job: Join a leading firm and play a key role in maintaining market integrity.
- Qualifications: Experience in compliance within trading or financial services is essential.
The predicted salary is between 59400 - 72600 £ per year.
THE COMPANY
Our client is a well-regarded trading and market making firm . They are looking for a Compliance and Surveillance Analyst to join the London-based team.
THE RESPONSIBILITIES
- Oversee the effectiveness of the firm’s trade surveillance arrangements
- Act as the primary Compliance contact for surveillance-related issues
- Perform monthly, risk-based QA of surveillance alerts, identifying weaknesses, control gaps and opportunities for improvement.
- Investigate escalated surveillance matters through to a conclusion and make a reasoned STOR or no-STOR recommendation
- Lead the annual Market Abuse Risk Assessment (MARA) review from a surveillance perspective, keeping the firm’s arrangements aligned with its trading activities, products, markets and relevant market-abuse risks.
- Lead the annual review of surveillance alert parameters
- Ensure new markets, instruments and trading venues are appropriately considered and incorporated into the surveillance framework as the firm’s trading activity develops.
- Maintain and improve trade surveillance policies, procedures and supporting documentation.
- Lead the implementation, migration or material enhancement of trade surveillance systems
- Manage the Compliance inbox
- Provide practical compliance support to the business, including day-to-day questions from traders and other employees through established channels.
- Own the day-to-day operation of personal account dealing and related controls
- Manage KYC-related compliance requests and ensure they are completed accurately, consistently and on time.
• Execute the Compliance Monitoring Programme (CMP)
- Coordinate and deliver compliance inductions for new joiners, keeping content current and delivering sessions where appropriate.
- Support the annual compliance training programme, including updating content, coordinating completion and following up outstanding training.
- Manage the operational aspects of the annual SM&CR attestation process.
- Handle routine regulatory enquiries, questionnaires and errors & omissions notifications across the firm’s regulators and jurisdictions internationally, escalating substantive or significant matters appropriately.
- Maintain accurate records and evidence of compliance activities so that processes are sufficiently documented to support oversight and auditability.
EXPERIENCE REQUIRED
- Relevant compliance experience within a trading firm, market maker, investment firm or another regulated financial services environment.
- Practical trade surveillance experience, including reviewing or overseeing surveillance arrangements, and a good understanding of market-abuse risks and surveillance methodologies.
- Hands-on experience of surveillance processes — alert review, quality assurance, alert scenarios or parameters, surveillance procedures and escalation handling.
- A good working knowledge of the UK market abuse regime, including UK MAR and the FCA’s expectations on market conduct and surveillance.
- The ability to operate independently within a compliance function and exercise sound judgment on compliance issues, across multiple jurisdictions.
- A track record of managing recurring compliance processes and completing work accurately, consistently and on time.
- For further information please contact Natalie Eshelby
Compliance and Surveillance Analyst in London employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance and Surveillance Analyst in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance and Surveillance Analyst in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
