Senior Compliance Analyst – 12 months maternity cover - UK - London

Finance / FinTech
Ref: 460 Date Posted: Thursday 24 Nov 2022
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Our client is the financial division of a PLC listed on the FTSE 250 and having over 600 clients across 80 countries spanning CFD retail brokers, banks, hedge funds, professional traders and asset managers. A market leader in next-generation multi-channel trading software, systems and liquidity services. 

We are currently seeking to recruit a Senior Compliance Analyst for 12 months of maternity cover. 


  • Monitoring and interpreting regulatory developments and advising on business impact and necessary process changes;
  • Assist the SMF16/17 on liaison with the regulators and the NCA;
  • Researching regulations and legislations; acting as advisory support to the Compliance Director and the firm;
  • Preparation and review of documentation for high risk clients, escalating to the MLRO as required;
  • Assisting with review and investigation of internal SARs and STORs;
  • Monitoring and completion of ongoing Compliance Monitoring Program obligations, such as Best Execution, TCF, Onboarding reviews and Complaints handling
  • Monitoring of transactions in respect of AML and MAR
  • Assisting with any regulatory matters, including AML/CDD, MAR, MiFID II, SMCR, PRIIPs;
  • Assisting with the design and implementation of the compliance monitoring programmes as well as completion and review thereof;
  • Development and management of accurate data analyses to enable the Compliance Director to report to the Executive Committee and Board on key risks, issues and actions taken;
  • Development and the on-going maintenance of policies and procedures to ensure the firm remains compliant with regulations;
  • Assisting with complaints handling for all complaints made against the Firm, its members and/or its staff;
  • Reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements;
  • Keeping up to date with-, and understanding, relevant laws and regulations, ensuring ongoing compliance with laws, regulations and internal policies.

This list is not exhaustive, and any other reasonable tasks/duties directed by the Compliance Director will form part of this job description.


  • At least 5 years’ practical experience in a Senior Compliance and Financial Crime prevention role in an FCA regulated firm;
  • Previous CF/SMF experience or direct support thereto;
  • Excellent technical compliance skills in the areas of COBS,MAR, MIFID II, DISP, CASS, SYSC and PERG.
  • Significant knowledge of FCA industry standards and regulations;
  • Demonstrable knowledge of AML legislation and a working knowledge of the JMLSG guidance for brokerage products;
  • Significant knowledge of anti-financial crime related matters – ABC, Fraud, MAR, Sanctions, AML/CTF, etc
  • Strong knowledge of financial crime typologies, risk indicators pertaining to them and solutions to mitigate the risk;
  • Proven track record of experience providing expertise and management of compliance issues in an FCA regulated firm;
  • Excellent drafting skills;
  • Demonstrable experience of problem solving and root cause analysis and identification skills;
  • Experience of working in a rapid growth, scaling environment
  • Must be able to perform independently and with minimal supervision

While working with them enjoy these perks:

  • 25 days Annual Holiday Entitlement
  • Discretionary Annual Bonus
  • Private Medical Insurance
  • Life Insurance
  • Hybrid working
  • Free Lunch once a week
  • Company Auto Enrolment qualifying Pension Scheme on the three month anniversary date of employment start date


For more information or to apply for the above job opportunity, please send your CV to Marie Pavlou: