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Compliance Analyst | Securities | Up to £60k + bonus

City of London Permanent £40,000 - £60,000 per year View Job Description
This role is ideal for someone with approximately 1-4 years of compliance experience in a small-mid sized function. The position will focus on UK and EU regulatory requirements including horizon scanning and executing the annual compliance monitoring plan, compliance monitoring, prudential & regulatory reporting and other generalist tasks.
  • Compliance Analyst opportunity in an a boutique securities firm
  • Central London | WFH Flexibility | Up to £60k + bonus

About Our Client

Our client is a boutique securities firm who are currently facing significant growth. They play a key role in supporting market stability by ensuring liquidity across various financial instruments for institutional clients.

Job Description

  • Assist in the development and implementation of compliance frameworks and processes.
  • Undertake continual horizon scanning and executing the annual compliance monitoring plan.
  • Ensure effective operation of wall-crossing processes and assist with maintaining restricted lists.
  • Review and assess financial promotions, advertising, marketing content, and customer communications for regulatory compliance.
  • Support the preparation, review, and submission of various required regulatory reports.
  • Support the Risk & Compliance department with the implementation of compliance frameworks and policies.
  • Assist in the review of legal contracts and agreements as needed.



The Successful Applicant

The successful Compliance Analyst will have:

  • 1-4 years compliance generalist experience in financial services.
  • Strong understanding of UK and EU regulatory frameworks.
  • A degree or professional qualification in law, finance, or a related field.
  • Attention to detail and the ability to work with sensitive and confidential information.

What's on Offer

  • Salary ranging from £40,000 to £60,000 per annum, pending experience.
  • Attractive bonus and pension scheme.
  • Permanent role located in Central London with flexible working arrangements.
  • Supportive company culture with a focus on delivering excellence.



If you are looking to advance your career as a Compliance Analyst in the financial services industry, apply now to take the next step in your professional journey.

Contact
Bailey Michel
Quote job ref
JN-042026-6992265
Phone number
+442072692158

Job summary

Job function
Compliance
Subsector
Compliance Generalist
Sector
Financial Services
Location
City of London
Contract type
Permanent
Consultant name
Bailey Michel
Consultant phone
+442072692158
Job reference
JN-042026-6992265