Compliance Analyst, 3 - 6 Month Fixed Term Contract

IT and Digital Technology
Attractive Salary Package

Job description

My Client is a Global financial brokerage based in Central London offices. Due to some internal movement they are currently seeking a high calibre Compliance Analyst.

Key responsibilities will include:

• Providing day to day regulatory advice, assisting and resolving compliance and regulatory issues arising from Sales and Trading teams and Support departments
• Providing advice on a diverse set of products, including Derivatives, FX and Commodities (e.g. metals)
• Build strong internal relationships with the business teams and support functions
• Draft, review, publish and embed Compliance policies
• Plan for and deliver Compliance training
• Administration of annual Compliance training
• Develop strong relationships with relevant exchanges and regulators
• Maintaining up to date knowledge of regulatory developments affecting the business and support the analysis and impact assessment of new regulations
• Annual attestations process for Certification Function staff and Senior Managers
• Administration of Trader Provisioning System requests for internal and external exchange access
• Review and administration of Introducing Broker relationships
• Administration of exchange incentive schemes
• Review and dissemination of exchange circulars
• Responsible for compilation and submission of FCA Senior Managers Regime applications
• NFA registration of Principals and Associated Persons
• Review and administration of examination requirements for Client Dealing Certification Function staff
• Set up and administration of exchange memberships
• Maintenance of breaches logs & conflicts register
• Administration of joiners / movers / leavers process in relation to regulator and exchange registrations / access

The successful incumbent will possess circa 1 - 2 years' experience in a similar Compliance role and detailed knowledge and understanding of brokerage services with product experience covering derivatives, FX and commodities with a focus on metals. Good understanding of FCA rules (particularly COBS, MAR, SYSC and COCON) and relevant European legislation would be advantageous as would be working knowledge of NFA and CFTC rules (Swap dealer & Introducing Broker). Lastly, you will have the ability to work well under pressure and move between tasks quickly as well as manage expectations.
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