Compliance Analyst

Marlin Selection Recruitment; 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, analyzing compliance issues, and providing training to staff. Ideal candidates will have experience in the LME or commodities environment and possess strong analytical skills.

Qualifications

• Experience in LME or commodities/futures and options environment.
• Good level of computer literacy.

Responsibilities

• Assist with surveillance of trading activities for compliance.
• Monitor European Regulatory developments.
• Provide compliance training to employees.

Skills

Compliance

Regulatory Analysis

Attention to Detail

Adaptability

Education

Solid Academic Qualifications

Job description

Job Opportunity: Compliance Analyst

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 compliance with regulatory responsibilities;
2. Analysis of relevant provisions related to our business and market abuse issues.

General Compliance Responsibilities

1. Considering all relevant statutory and regulatory provisions, including FCA, LME, and LMEClear rules;
2. Monitoring European Regulatory developments and guidance from ESMA;
3. Assisting with FCA reports, authorizations, and SMCR processes;
4. Reviewing assistance provided by FIA regarding ToB documentation, Netting Opinions, and updates relevant to the Company;
5. Providing compliance training to Company employees;
6. Collaborating with the Client Services Team to maintain client records and trading authorizations;
7. Reviewing and preparing the Company’s Compliance Policies and Procedures;
8. Producing relevant compliance reports.

Account Opening

This process includes:

1. Reviewing all account opening documentation in light of legal, regulatory, and business changes;
2. Coordinating with the Account Executive Desk to send out account opening documentation;
3. Analyzing all associated documentation and background information upon receipt;
4. Performing CDD, AML, and sanctions checks;
5. Preparing documentation for full account and give-up clients.

Candidate Profile

The ideal candidate will have solid academic qualifications (not essential) and significant experience in the LME or a commodities/futures and options environment. Expertise in the areas mentioned above is desirable. More importantly, we seek a bright, enthusiastic individual with a willingness to learn swiftly and adapt to challenges. A good level of computer literacy is essential.

If you believe you meet these requirements, please apply!