Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Monitor trading activity and conduct investigations to ensure compliance with regulations.
- Company: Ambitious FCA-regulated broker-dealer in the heart of the City.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Join a critical role that shapes integrity and governance in finance.
- Qualifications: 3-5 years in compliance or financial crime, strong communication skills required.
- Other info: Opportunity for growth and to drive tech improvements in compliance.
The predicted salary is between 36000 - 60000 Ā£ per year.
THE COMPANY: An ambitious, FCA-regulated brokerādealer in the City is seeking a highly skilled and proactive Compliance & Financial Crime Analyst to join the team. This role is critical to ensuring the firm continues to meet FCA regulatory requirements while maintaining the highest standards of integrity, governance, and client trust.
THE RESPONSIBILITIES:
- Monitor trading activity using OneTick trade surveillance system, reviewing alerts for potential market abuse, insider dealing, and other misconduct.
- Conduct deepādrive investigations, elevate issues, and document findings clearly for compliance records.
- Assist with the detection, investigation, and reporting of suspicious activity, preparing SARs / STORs to the NCA and/or the Competent Authority as required.
- Maintain oversight of AML/CTF frameworks, ensuring policies and procedures are applied consistently.
- Perform KYC / CDD / EDD reviews on institutional and high-net-worth clients, including risk assessments for complex structures.
- Support periodic reviews and ongoing monitoring to ensure up-to-date client files and risk ratings.
- Review and approve client onboarding and continuation decisions, including EDD cases.
- Act as a subject matter expert, guiding teams on AML/CFT requirements and best practices.
- Assist with compliance monitoring programme, thematic reviews, and regulatory change projects.
- Provide input on FCA requests, audits, and internal governance reporting.
- Stay ahead of regulatory changes and advise on implementation across the firm.
- Contribute to the continuous improvement of systems, controls, and processes. Spot opportunities to streamline and enhance service delivery.
- Take ownership of issues, propose pragmatic solutions, and drive them to resolution.
- Support tech-driven improvements that boost efficiency without compromising compliance.
EXPERIENCE REQUIRED:
- Minimum 3ā5 years' experience in compliance / financial crime within investment banking, prime brokerage, or trading environment.
- Excellent communication skills and the ability to build trust with stakeholders ā able to draft clear reports and challenge stakeholders when needed.
- Strong working knowledge of AML, CTF, market abuse, and financial crime regulations (UK & EU).
- Demonstrated expertise with OneTick trade surveillance or equivalent monitoring platforms.
- Handsāon experience preparing SARs/STORs and engaging with regulators/law enforcement.
- Solid understanding of KYC/CDD/EDD processes across a range of client types.
Compliance & Financial Crime Analyst in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice š¤«
We think this is how you could land Compliance & Financial Crime Analyst in London
āØTip Number 1
Network like a pro! Reach out to your connections in the compliance and financial crime sectors. Attend industry events or webinars, and donāt be shy about introducing yourself. We all know that sometimes itās not just what you know, but who you know!
āØTip Number 2
Prepare for interviews by brushing up on your knowledge of AML, CTF, and market abuse regulations. We recommend creating a cheat sheet with key points and examples from your experience. This will help you articulate your expertise confidently when discussing your fit for the role.
āØTip Number 3
Showcase your problem-solving skills! During interviews, be ready to discuss specific challenges you've faced in compliance and how you tackled them. We love hearing about real-life scenarios where youāve made a differenceāthis is your chance to shine!
āØTip Number 4
Donāt forget to apply through our website! Itās the best way to ensure your application gets noticed. Plus, weāre always looking for proactive candidates who are eager to contribute to our mission of maintaining the highest standards of integrity and governance.
We think you need these skills to ace Compliance & Financial Crime Analyst in London
Some tips for your application š«”
Tailor Your CV: Make sure your CV is tailored to the Compliance & Financial Crime Analyst role. Highlight your experience in compliance, financial crime, and any relevant systems like OneTick. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a perfect fit for our team. Keep it concise but impactful ā we love a good story!
Showcase Your Communication Skills: Since excellent communication is key in this role, make sure your application reflects that. Use clear language and structure your documents well. We want to see that you can draft reports and engage with stakeholders effectively.
Apply Through Our Website: Don't forget to apply through our website! Itās the best way for us to receive your application and ensures youāre considered for the role. Plus, it gives you a chance to explore more about us and what we do!
How to prepare for a job interview at Compliance Professionals
āØKnow Your Regulations
Make sure you brush up on the latest FCA regulations and financial crime laws. Being able to discuss these confidently will show that you're not just familiar with the basics, but that youāre proactive about staying informed.
āØMaster the OneTick System
If you have experience with OneTick or similar trade surveillance systems, be ready to share specific examples of how you've used it in past roles. Highlighting your hands-on experience will demonstrate your capability and readiness for the role.
āØPrepare for Scenario Questions
Expect questions that ask you to solve hypothetical compliance issues or describe how you would handle suspicious activity. Practising these scenarios can help you articulate your thought process and decision-making skills effectively.
āØShowcase Your Communication Skills
Since this role involves drafting reports and engaging with stakeholders, be prepared to discuss how youāve successfully communicated complex information in the past. Use examples that highlight your ability to build trust and challenge when necessary.
