Compliance Analyst

JR United Kingdom; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading Financial Services Firm in the City of London is seeking a Compliance Analyst to ensure adherence to legal and regulatory obligations. The role involves monitoring trading activities, providing compliance training, and reviewing account documentation. Ideal candidates will have experience in commodities or futures, a proactive attitude, and strong analytical skills.

Qualifications

• Experience in LME or commodities/futures and options environments is significant.
• Positive, eager personality with willingness to learn and adapt.

Responsibilities

• Assist with surveillance of trading activities for regulatory compliance.
• Monitor European Regulatory developments and provide compliance training.
• Review account opening documentation and perform CDD, AML, and sanctions checks.

Skills

Regulatory compliance

Analytical skills

Attention to detail

Good computer literacy

Education

Sound academic qualifications

Job description

Social network you want to login/join with:

Compliance Analyst, London (City of London)

Client: Marlin Selection Recruitment

Location: London (City of London), United Kingdom

Job Category: Other

-

EU work permit required:

Yes

Job Views:

2

Posted:

23.05.2025

Expiry Date:

07.07.2025

Job Description:

A great opportunity has arisen to join a Financial Services Firm in the City of London as a Compliance Analyst. Reporting to the Head of Legal & Compliance, the role-holder will join a small team dedicated to ensuring that the Company operates in full compliance with all its legal and regulatory obligations.

Primary Responsibilities:

1. Assisting with the surveillance of the Company’s trading activities to ensure all trading complies with regulatory responsibilities;
2. Analysis of relevant provisions related to business and market abuse;

General Compliance Responsibilities:

1. Consideration of all relevant statutory and regulatory provisions, including FCA, LME, and LMEClear rules;
2. Monitoring European Regulatory developments and ESMA guidance;
3. Assisting with FCA reports, authorizations, and SMCR;
4. Utilizing FIA resources for ToB documentation, Netting Opinions, and updates;
5. Providing compliance training to employees;
6. Working with the Client Services Team to maintain client records and trading authorizations;
7. Reviewing and preparing compliance policies and procedures;
8. Producing relevant compliance reports.

Account Opening:

1. Reviewing account opening documentation considering legal, regulatory, and business changes;
2. Liaising with the Account Executive Desk for documentation dispatch;
3. Analyzing all associated documentation and background checks;
4. Performing CDD, AML, and sanctions checks;
5. Preparing documentation for full account and give-up clients.

The ideal candidate will have sound academic qualifications (not essential) and significant experience in the LME or commodities/futures and options environments. A positive, eager personality with a willingness to learn and adapt is highly valued. Good computer literacy is essential. If you believe you meet these criteria, please apply!