Compliance Analyst

Compliance Generalist Our client is a small Exchange based Trading and Broking organisation but part of a large global corporation. They are looking for a Compliance Generalist who has experience working in a small firm, exposed to a range of compliance functions. It is a very hands on, high quality small team.

Details Date: 7 Nov 2025 Sector: FINANCIAL MARKETS Type: Permanent Location: London Salary: £42,000 - 45,000 per annum Email: [email protected] Ref: DB071125 Key Responsibilities Issuing letters to customers and business partners (e.g. finalising, printing out and posting). Work relating to anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection. Conduct and financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.

Assisting with trade surveillance e.g. by checking and collecting information relating to alerts. Carrying out due diligence on third party outsourced service providers. Performing the department’s tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.

Reviewing existing compliance policies and procedures and draft amendments to new procedures, where required. Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification. Providing staff training on compliance matters.

Completing and submitting returns and reports to the FCA and other authorities. Maintaining and updating databases. Preparing management information and reports to internal stakeholders.

Additional Tasks Ad hoc research on FCA rules and laws and regulations affecting the firm. Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems etc. Qualifications & Preferences Previous experience (ca. 2-4 years) of working within a compliance/legal department is preferred.

Financial services (Regulated environment) experience would be advantageous. Passion for compliance and regulatory work and eager to learn from others and independently. Ability to demonstrate entrepreneurialism, initiative and common sense, with a very strong attention to detail and good writing skills. #J-18808-Ljbffr