Compliance Analyst/Associate (Prime Services)

TL;DR

Compliance Analyst/Associate (Prime Services): Providing first-line compliance support and regulatory advice to Futures Sales Trading and Clearing businesses with an accent on real-time issue resolution and policy development. Focus on navigating complex financial regulations like MiFID and MAR, managing stakeholder relationships, and ensuring adherence to internal risk management frameworks.

Location: Must be based in London, UK

Company

A leading global investment banking, securities, and investment management firm committed to fostering diversity and professional growth.

What you will do

• Provide real-time compliance advice to business personnel regarding rules, regulations, and internal policies.
• Develop and update policies and procedures tailored to specific business requirements.
• Deliver compliance training programs to various business teams.
• Partner with surveillance and financial crime teams to resolve alerts and desk escalations.
• Coordinate and review responses to exchanges and regulators.
• Provide compliance sign-off for electronic trading activities and marketing materials.

Requirements

• Must be based in London or willing to work from the office.
• Degree level education or equivalent relevant working experience.
• Strong understanding of capital markets and regulatory frameworks such as MiFID, MAR, and COBS.
• Ability to work independently, manage stakeholders at all levels, and resolve conflicts under pressure.
• Pro-active, self-motivated, and enthusiastic approach to learning.

Nice to have

• Previous experience in Compliance, specifically within Equities or Futures.
• Knowledge of Listed Derivatives and Global Futures Exchange rules.
• Experience performing an advisory role within a global investment bank.

Culture & Benefits

• Commitment to diversity, inclusion, and professional development.
• Access to firmwide networks, wellness programs, and personal finance offerings.
• Supportive environment with training and development opportunities.
• Equal opportunity employer dedicated to reasonable accommodations.