Compliance Monitoring Analyst - Permanent


Contract Type:


Recruiter Name:
Darren Winter


Compliance Monitoring Analyst
Up to £40,000

cer Financial are working with a leading broker to fill their new vacancy of a Compliance Monitoring Analyst. The role will involve working closely with the front desks, operations and other members of the Compliance Department to help ensure that SFL meets its legal/regulatory obligations.

The successful Compliance Monitoring Analyst responsibilities will be:

  • Assist in maintenance of the Compliance Department’s guidelines and procedures
  • Contribute with examining and resolving ad hoc questions from business areas and exchanges
  • Comprehensive manual compliance monitoring tasks where electronic monitoring is either not accessible or possible
  • Use SFL’s electronic surveillance systems daily to conduct compliance monitoring 
  • Generate management information on monitoring activities undertaken, highlighting areas that need further investigation and review

The Compliance Monitoring Analyst skills will include:

  • Good IT skills with some acquaintance of Microsoft Office programs 
  • The successful applicant will be anticipated to complete numerous industry qualifications to advance their knowledge of products and applicable regulations where required  
  • Some knowledge of the FCA’s Code of Market Conduct
  • Involvement with the products, markets & operational processes (specifically Derivatives & FX)
  • Industry qualifications, e.g. CISI Derivatives and/or UK Financial Regulation would be greatly beneficial 
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Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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