Compliance Analyst - Trading Platform / Financial Services
Salary: £40k-£50k
Location: London
Employment Type: Full-time
Experience: 1+ years
About Us
We are a fast-growing multi-asset trading platform, providing clients access to a broad range of markets through a secure, transparent, and innovative environment. Compliance is central to how we operate, ensuring our activities meet regulatory standards while supporting responsible growth. We are looking for a motivated Compliance Analyst with 1–3 years of experience to strengthen our monitoring, oversight, and controls across multiple asset classes.
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Key Responsibilities
* Trade Surveillance: Monitor trading activity across multiple asset classes (e.g., equities, FX, derivatives, fixed income, digital assets) to identify potential market abuse, manipulation, or breaches of trading rules.
* Regulatory Oversight: Support the design, implementation, and maintenance of compliance policies and procedures in line with FCA and other relevant regulations.
* Monitoring Programme: Assist in periodic compliance reviews and testing to ensure effective controls are in place across different product lines.
* Policy & Guidance: Help draft and update compliance manuals, desk procedures, and guidance documents tailored to a multi-asset environment.
* Regulatory Reporting: Support the preparation and submission of regulatory reports, including transaction reporting, as required.
* Advisory Support: Provide first-line compliance support to trading, operations, and technology teams, escalating issues as appropriate.
* Registers & Record-Keeping: Maintain accurate compliance registers (e.g., breaches, conflicts of interest, gifts & entertainment).
Requirements
* 1–3 years’ experience in a compliance, regulatory, or surveillance role within financial services.
* Good understanding of FCA rules and conduct requirements (e.g., MAR, COBS).
* Familiarity with trading platforms and order flows across multiple asset classes is highly desirable.
* Experience with surveillance or monitoring tools advantageous.
* Strong analytical, organisational, and problem-solving skills with close attention to detail.
* Excellent communication skills, able to work effectively with stakeholders across business lines.
* Comfortable operating in a fast-paced, dynamic trading environment.
What We Offer
* Exposure to a cutting-edge multi-asset trading environment.
* Hands-on experience across different products and markets.
* Opportunities for professional development and progression.
* Competitive salary and benefits package.
* A collaborative and ambitious culture with responsibility from day one.