Compliance, Prime Services (Futures) Compliance, Analyst/Senior Analyst, London
On-site · London, England, United Kingdom
Job Summary
Analyst/Senior Analyst within the EMEA Prime Services Compliance team (Equities Compliance) providing first-line compliance support and advice to Futures Sales Trading, Futures Sales, Futures Strats and related teams. Responsibilities include providing real-time compliance guidance, supporting business-led projects, developing/updating policies and procedures, delivering tailored compliance training, coordinating with central Compliance and other functions, participating in EMEA/Global initiatives, assisting with the annual Compliance Risk Assessment, collaborating with Surveillance and Financial Crime Compliance on alerts, assessing regulatory impacts, setting internal policies, guiding exchanges/regulators responses, and signing off on electronic trading and marketing materials. Required capabilities include pro-activeness, independence, strong communication, and ability to manage stakeholder relationships; experience in compliance (Equities/Futures) and knowledge of capital markets and relevant rules (MiFID, MAR, COBS) is advantageous.
Required Qualifications
- Degree level or equivalent (not essential if relevant working experience)
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