Senior Compliance Analyst

Goodman Masson
11 Mar 2017
10 Apr 2017
Contract Type
Full Time
Senior Compliance Analyst
An exciting opportunity has arisen with a new exchange that is going to allow people to trade shares in some of the most iconic properties in London. They are currently looking to grow there compliance and regulatory team. They are authorised by the FCA and is an exciting entrepreneurial environment.
The Team
The Regulation Team is responsible for the admission to trading and monitoring of Exchange Traded Properties (ETPs), and market supervision of the exchanges Regulated Market. The team works collaboratively with all business units, the UK Listing Authority (UKLA), the Royal Institution of Chartered Surveyors (RICS), the Firm's advisory community and trade associations.
The Role
The Firm is seeking a senior analyst with at least three years' experience in listing, KYC or onboarding. UKLA experience would be preferred. The role will involve working closely with the Firms business operations, the UKLA, RICS and the advisory community. The role will initially be part of a team of three. This position is based in our Guildford, Surrey office.
The person in this role will also cover Market Supervision as well as Financial Crime and Anti Money Laundering (AML) functions. Experience in these functions is not a requirement for the role but would be desirable. Training will be provided.
*Assist in the development and maintenance of the exchange Rules for Issuers, the Exchange Trading Rules, and the Membership Rules (agent and trading firms);
*Support the efficient admission to trading process that competes with the commercial property market;
*Day to day analysis and investigation of Market Abuse alerts within the Market Supervision tools as well as monitoring for orderly markets;
*Carry out investigations of potential breaches of Exchange rules;
*Assist in the monitoring of Financial Crime and Anti Money Laundering (AML); and
*Develop and maintain management information which will be provided to the Executive team as well as the Board.