Compliance Analyst

  • £30,000 - 40,000 per annum
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Tradition
  • 15 Aug 18 2018-08-15

Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people.

Tradition is currently looking to appoint an Compliance Analyst within the London office.

We are seeking an individual with previous experience/knowledge of SMCR or Compliance to be based within the wider HR function. 

Main responsibilities within the position include:

Employee regulatory registrations both in the UK and overseas as necessary
Maintenance of list of policies and procedures
Reviews of conflicts of interests
Documentation management
General HR and Compliance administration duties
DBS checks
Creation and updating of job profiles and roles and responsibilities
Creation and updating of organisational charts
All duties and requirements that fall to the HR Department under SMCR
Any regulatory checks that are required by the FCA
Liaison with other departments as required
Any other ad hoc responsibilities as required

Key skills, experience and competencies required in this role:

FCA knowledge – client classifications, conduct of business rules, training and competence, Approved Persons and FCA processes.
Basic knowledge of the firms’ products including cash equities and securities, equity and commodity derivatives and money markets
1– 2 years’ experience in similar role
Experience of dealing with formal documentation
A-Levels qualification
Strong administration skills
Excellent Microsoft Office skills (Excel, Word)
High degree of accuracy and attention to detail
Excellent written and oral communication skills
Able to work as part of a team, as well as on own initiative
Willing to learn and adapt, with a can do approach
Personable with a friendly, confident and approachable manner, whilst maintaining a high degree of professionalism/confidentiality
Able to work in a busy and demanding environment
High level of integrity and discretion
Strong work ethic
Ability to prioritise a heavy workload in order to meet deadlines and problem solve
Ability to liaise with a wide range of people on a variety of levels.
Ability to work on own initiative with minimal guidance
Ability to identify areas for improvement and to implement changes
Proven track record in carrying out the role & responsibilities

Additional qualities required within this role:

Responsible to take the appropriate measures to establish a supervisory structure and the associated processes and practices as are applicable to their business in order to observe legal and regulatory requirements of any jurisdiction in which they operate. This includes requirements relating to supervision itself

Responsible for always considering the measures that are necessary to ensure effective supervision including the provision of effective and robust processes and controls that contribute to their oversight
Responsible for cultivating efficient working relationships with 1st Line of Defence functions such as Front Office Risk and Control, Trade Support/Back Office and Finance, Risk, HR and Compliance
Responsible for ensuring that new and existing staff fully understand and adhere to company policies and procedures
Responsible for managing their business and the staff that work within that business in adherence with Tradition Group Code of Ethics and to promote the Tradition Culture and Values Statement
Responsible for knowing, understanding and actively managing the Risks and Controls that are applicable to their business
Behave in an appropriate and professional manner applicable to their level of responsibility