Compliance Analyst

Michael Page International Rec Ltd
40000.00 - 45000.00 GBP Annual
08 Sep 2017
23 Sep 2017
Contract Type
The Financial Services- Compliance Analyst will promote an effective compliance ethos in the Investment Banks branch in London.

The Compliance Analyst will provide advice to the business on compliance matters as required.

Client Details

A well known Investment Bank seeking to appoint a Compliance Analyst to their London team.


The financial services - compliance analyst will carry out the following responsibilities:

Control Room duties

* Identify, manage and escalate transaction/staff- related conflicts

* Maintain the Watch List/ Restricted List/ Insider List

* Monitor/ manage information-sharing between different confidentiality areas

Central Compliance duties

* Monitor short-selling positions

* Manage UK disclosures/ reporting to regulators, Takeover Panel and others (long/ short positions, etc)

* Manage the personal registration processes with regulators and exchanges

* Administer training

General tasks
Participate in/ manage Compliance projects, investigations and other tasks as required

* Contribute as required to content and delivery of Compliance training

* Follow up alerts from Compliance monitoring

* Collate and interpret MI and ad-hoc reports

General compliance support
Analyse as required regulatory expectations and developments and changes to business strategy, and adjust procedures, training, monitoring etc accordingly

* Maintain and develop Compliance IT systems as needed.

* Maintain relations with regulators, market bodies, Group departments, etc as needed.

Individual compliance
Adhere to all regulatory and compliance requirements, and house requirements.


The successful financial services- compliance analyst will have:

* Vocational training, university degree or similar, preferably in Banking, General Management or Law

* Specialist knowledge (investment products, further qualification):

* Worked in Compliance or a relevant field to Investment Banking

* Familiarity with the product and client type portfolio of the entity/branch

* Skills in MS Word, Excel and PowerPoint

* Generally strong communication skills

* Excellent command of written and spoken English

* Based in London

Job Offer

Competitive Package