Regulatory Monitoring Analyst - Compliance Surveillance &Transaction Reporting

  • Job Reference: DJ 12626
  • Date Posted: 24 May 2019
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: On Application
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Duncan Jeffery
  • Email:

Job Description

My client is a well-known commercial FX specialist. They are a global player in their market and assist clients in managing payments and volatility in an ever changing market.

The Role
You will be part of a growing and collaborative team who are responsible for the control, mitigation and monitoring of their regulatory risk.  


  • Educating the monitoring team on requirements and monitoring best practice
  • Analysis of issues identified and agree actions to address these
  • Oversight of transaction reporting; investigation, documentation, tracking and resolution of reporting issues, ensuring operational processes are developed, tested and implemented
  • Oversight of execution and pricing
  • Provide MI on surveillance, trade reporting and training activities
  • Provide input and assist with testing and development of new systems
  • Ongoing involvement with LEI status, client categorisation and appropriateness
  • Develop individual and group staff face-to-face training and build awareness of the firm’s regulatory obligations across the business
  • Collaborate with Compliance Policy Officer to ensure that department policies and procedures accurately reflect practice
  • Provide support to the Compliance team in new project work driven by the changing regulatory environment
  • Adhoc generalist Compliance and cover of other staff members

Skills required

  • Technical knowledge of FX financial instruments
  • Good all round knowledge of front and back office operations and practices 
  • Experience of trade surveillance
  • Compliance qualifications desirable

 For more information, please contact Duncan Jeffery on 0207 588 3322 

Ref 12626