• 20 October 2008
• Reference: JR205734

• Equities Compliance Analyst - Trading Floor Based

• City of London £40,000 - £45,000 p/a Permanent

This is a trading floor based Equities role with a premier European Market-Maker

An Equities Compliance Officer to undertake compliance monitoring and provide support to the front office. The individual will work within a small team, which reports to the Head of Compliance.

The Role

The role requires an individual to undertake compliance monitoring, provide support to the front office, and deal with general regulatory issues and correspondence.

This is a highly responsible position that would interest a suitably qualified individual with securities experience.

The role requires knowledge of Conduct of Business rules, Market Abuse rules, an awareness of Money Laundering issues, and an awareness of High Level standards. Knowledge of Exchange rules would also be of benefit.


Key Responsibilities

Front Office support:
*Providing regulatory support and resolution of queries from the front office

Compliance monitoring:
*Complete the compliance monitoring programme on a monthly basis, and track and report findings to management
*Assist in the design and implementation of monitoring programme improvements

General:
*Assisting in system specification and development process to meet set objectives
*Maintenance of FSA standing data/Client standing data
*Keeping Management updated with relevant new FSA consol papers etc
*Assistance with Client take-on process

Personal skills:
*good communicator
*self starter
*professionalism
*attention to detail
*commercially aware
*team player with ability to work in a friendly close knit environment

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Keywords related to this job

• Compliance,
• Compliance Officers / Analysis,
• City of London,
• Permanent,
• Banking,
• Equities