An ambitious, FCA-regulated broker-dealer in the City is seeking a highly skilled and proactive Compliance & Financial Crime Analyst to join the team. This role is critical to ensuring the firm continues to meet FCA regulatory requirements while maintaining the highest standards of integrity, governance, and client trust.
THE RESPONSIBILITIES:
Monitor trading activity using OneTick trade surveillance system, reviewing alerts for potential market abuse, insider dealing, and other misconduct.
Conduct deep-dive investigations, escalate issues, and document findings clearly for compliance records.
Assist with the detection, investigation, and reporting of suspicious activity, preparing SARs / STORs to the NCA and/or the Competent Authority as required.
Maintain oversight of AML/CTF frameworks, ensuring policies and procedures are applied consistently.
Perform KYC / CDD / EDD reviews on institutional and high-net-worth clients, including risk assessments for complex structures.
Support periodic reviews and ongoing monitoring to ensure up-to-date client files and risk ratings.
Review and approve client onboarding and continuation decisions, including EDD cases
Act as a subject matter expert, guiding teams on AML/CFT requirements and best practices
Assist with compliance monitoring programme, thematic reviews, and regulatory change projects.
Provide input on FCA requests, audits, and internal governance reporting.
Stay ahead of regulatory changes and advise on implementation across the firm
Contribute to the continuous improvement of systems, controls, and processes. Spot opportunities to streamline and enhance service delivery.
Take ownership of issues, propose pragmatic solutions, and drive them to resolution.
Support tech-driven improvements that boost efficiency without compromising compliance.
EXPERIENCE REQUIRED:
Minimum 3–5 years’ experience in compliance / financial crime within investment banking, prime brokerage, or trading environment.
Excellent communication skills and the ability to build trust with stakeholders — able to draft clear reports and challenge stakeholders when needed.
Strong working knowledge of AML, CTF, market abuse, and financial crime regulations (UK & EU).
Demonstrated expertise with OneTick trade surveillance or equivalent monitoring platforms.
Hands-on experience preparing SARs/STORs and engaging with regulators/law enforcement.
Solid understanding of KYC/CDD/EDD processes across a range of client types.
For further information, please contact Hannah Tabatabai
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