Compliance Analyst (Compliance Advisory) London, England, United Kingdom Base pay range The pay range is provided by Compliance Professionals. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Company Overview A leading global brokerage firm specializing in derivatives is seeking a Trade Surveillance Analyst. The ideal candidate will have some e‑commerce and trade surveillance experience, be highly organised, with strong attention to detail and accuracy, as well as strong numeracy skills. Key Responsibilities

Monitoring broker communications (voice and e‑mail/chat) for potential misconduct. Trade reconstructions. Trade investigations. Identify and escalates potential regulatory and exchange breaches. Incident resolution – detect and investigate breaches relating to insider dealing, market manipulation (including wash trades), regulatory rule breaches and company policies. Produce reports on findings at weekly compliance meetings. Prepare management information reports for quarterly board meetings. Assist with regulatory and/or exchange queries relating to orders and trades. Assist with the preparation of the Market Abuse Risk Assessment. Conduct regular training sessions for stakeholders (IT, HR, brokers, compliance). Liaise and assist brokers in understanding good practice. On‑desk advisory function. Monitor industry development and trends, including exchange circulars. Identify gaps in the firm’s monitoring and surveillance policies. Assist with implementing or upgrading software systems for monitoring and surveillance. Identify systems and controls failings and implement remedial action. Liaise with IT to ensure adherence to control checks. Monitor effectiveness of policies and procedures. Additional / ad‑hoc duties as required.

Candidate Requirements

Must be able to work in the office 5 days per week. 1 year+ experience in a trade surveillance or similar role at an investment firm, brokerage, or bank. Self‑motivated. Highly organised. Strong attention to detail and accuracy. Highly numerate and articulate. Strong problem‑solving skills. Ability to work effectively within a team environment. Strong IT skills (Word, Outlook, Excel, and the ability to learn new systems quickly).

Seniority level Mid‑Senior level Employment type Full‑time Job function Finance Industries Securities and Commodity Exchanges and Financial Services For further information please contact Hannah Tabatabai #J-18808-Ljbffr