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Regulatory Compliance Analyst

May & Stephens
Job LocationLondon
EducationNot Mentioned
Salary£45,000 - £50,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

REGULATORY COMPLIANCE ANALYSTCITY OF LONDONHYBRID£45,000 - £50,000Our client, a global foreign exchange provider are seeking a Regulatory Compliance Analyst to join their team in its centrally located London office, with a state of the art on site gym. This will be a hybrid role after the initial training period and thecompany have excellent career paths.The Regulatory Compliance Analyst will play a pivotal role in enhancing the monitoring and surveillance program to meet the regulatory requirements of the clients different entities.Your expertise will help to maintain the highest standards of integrity and adherence to regulations.Regulatory Compliance Analyst - Key Responsibilities will include:

  • Enhance Front Office Awareness
  • Nurture relationships with the front office to elevate their understanding of regulatory obligations.
  • Raise awareness of the firms processes and procedures, empowering the front office as the first line of defense.
  • Work collaboratively with the Compliance team to devise a robust monitoring and testing plan, optimizing resource utilization;
  • Execute compliance reviews
  • Provide day-to-day compliance advice and guidance, acting as the go-to resource for regulatory queries.
  • Monitor Front Office activities for conduct and rule adherence, analyzing identified issues and escalating as necessary;
  • Test controls to guarantee business operations are consistently in compliance.
  • Generate Management Information (MI) reports on surveillance, liaison, and training activities;
  • Provide support for testing and the development of new systems, contributing to the continuous improvement of our regulatory practices.
  • Lead projects focused on remediating specific areas of the Regulatory Compliance Departments monitoring oversight;
  • Collaborate with the team to ensure policies and procedures accurately reflect best practices.
  • Assist the Regulatory Compliance Manager and Chief Compliance Officer in carrying out their responsibilities.
Regulatory Compliance Analyst - What we are looking for
  • Demonstrated experience in regulatory compliance, preferably within the financial industry;
  • Proven track record of providing pragmatic regulatory advice and implementation solutions to first line of defense;
  • Strong understanding of FCA Regulations, PSR, MiFID II, MAR and EMIR etc.;
  • Extensive knowledge of derivatives;
  • Competent in horizon scanning future regulations;
  • Excellent communication and relationship-building skills to work effectively with cross-functional teams;
  • Analytical mindset with the capability to identify issues, analyze data, and propose effective solutions;
  • Detail-oriented approach to record-keeping and management information reporting;
  • Knowledge of surveillance technology and tools is a plus;
  • High standard of oral & written English is mandatory.
Regulatory Compliance Analyst - Whats in it for you
  • Competitive salary + discretionary bonus
  • Private healthcare;
  • Pension scheme;
  • Free on site state of the art Gym;
  • A great working environment;
  • The opportunity to develop your skills within a growing company.
May & Stephens Ltd is acting as an Employment Agency in relation to this vacancy.

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