Location
London

Hours
Full Time

Salary
Negotiable

About the Role
Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. We monitor trends and changes in regulations across all jurisdictions in which the firm operates, and develop and implement firmwide policies and procedures. Our responsibilities include advising the firm’s businesses, managing audits and inquiries, educating employees on policies and procedures, conducting surveillance and testing the firm’s risk management infrastructure.

We are recruiting for an Analyst/Senior Analyst to join the EMEA Prime Services Compliance team within Equities Compliance. This role provides first-line compliance support and advice to Futures Sales Trading, Futures Sales, Futures Strats and associated support teams within the Futures and Clearing businesses under Prime Services. The successful candidate will work in a dynamic, client-focused environment, managing real-time issues alongside a diverse project workload.

Key Responsibilities
- Provide real-time compliance advice to business personnel at all levels regarding applicable rules, regulations and internal policies
- Act as a compliance representative or support for business-led projects and initiatives
- Develop and update policies and procedures for relevant businesses
- Deliver ongoing and ad-hoc compliance training tailored to business needs
- Collaborate with central Compliance teams and support functions to resolve queries
- Coordinate with the broader Global Compliance team on EMEA and global initiatives
- Assist with the annual Compliance Risk Assessment
- Partner with Surveillance and Financial Crime Compliance to resolve alerts
- Assess impacts of new financial regulations and set internal compliance policies
- Coordinate and review responses to exchanges and regulators
- Review and assist with compliance sign-off for electronic trading activities and marketing materials

Diversity & Inclusion
We believe our people are our greatest asset. Our success is driven by the quality, dedication, determination and collaboration of our teams, enabling us to serve clients, generate long-term shareholder value and contribute to the broader community. We are committed to fostering an inclusive workplace where every individual has opportunities to grow professionally and personally.

Experience
- Experience within Compliance, preferably in Equities or Futures Compliance, or at a Futures Exchange is advantageous
- Understanding of capital markets, including Listed Derivatives and Global Futures Exchange rules is a plus but not required
- Experience in a compliance advisory role within a global investment bank and knowledge of regulations such as MiFID, MAR, COBS and Exchange rules is beneficial but not essential

About you
- Proactive, self-motivated and enthusiastic with strong organisational skills
- Ability to work independently and collaboratively as part of a team
- Skilled at managing relationships and stakeholders at all levels
- Demonstrates conflict resolution skills, remains calm under pressure and handles confrontation effectively
- Keen to learn and develop professionally

Qualifications
- Degree level or equivalent preferred but not essential if relevant work experience is demonstrated