Senior Compliance Analyst - Securities

  • £50-60,000
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • LMA
  • 19 Aug 18 2018-08-19

This is a newly created role at a renowned and long-established securities firm based in the City of London It will report directly to the Head of Compliance


Key Responsibilities



  • Undertaking and overseeing the Compliance monitoring programme including daily, monthly and quarterly monitoring checks, and topic specific reviews including Order Execution, CASS, MAR, Transaction Reporting, Conflicts of Interest and Conduct Risk to ensure compliance with FCA requirements.


  • Devising the material for and carrying out staff training on regulatory matters including induction training, approved person training and other regulatory topic training.


  • Overseeing the new joiner process including competency assessments, FCA registration and de-registration processes and administration of the exam and training bookings.


  • Drafting and updating compliance policies, manuals and procedures.


  • Identifying and reporting on regulatory changes and developments. Managing projects to implement new regulations including new FCA requirements and relevant EU regulations, liaising with other departments and the business on implementation of regulatory changes


  • Dealing with ad hoc enquiries from the business and being the first point of contact for incoming compliance queries.


  • Preparing agenda and minutes, and presenting to Senior Management at monthly Compliance Committee.


  • Providing cover for the Head of Compliance.




Person Specification


  • A minimum of 5 years' experience in Financial Services and at least 3 years in a 'Regulatory Compliance' function within a securities business environment


  • Must have a thorough knowledge of UK and European regulation as it applies to securities business, preferably with a relevant qualification


  • Knowledge of, and experience working with FCA CASS, MIFID and associated rules and regulations.
  • Understanding of wholesale fixed income securities business including repo and securities lending is preferable


  • Strong working knowledge of Microsoft Office suite


  • Experience of working in a small team and overseeing the work of other team members





  • Keen to develop their career in Compliance and display a highly motivated attitude


  • Excellent interpersonal and communication skills, confident, organised, able to work under pressure and to strict deadlines


  • Able to work unsupervised and manage own workload, possess a proactive work ethic


  • Methodical person with strong administrative and organisational skills with a keen eye for detail


  • Able to balance theoretical knowledge with commercial understanding of the needs of the business, able to take a pragmatic approach


  • Keen to work as part of a team, providing support and encouragement to other team members