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Compliance Analyst

Cantor Fitzgerald

Compliance Analyst

Salary Not Specified

Cantor Fitzgerald, City of Westminster

  • Full time
  • Permanent
  • Onsite working

Posted 3 weeks ago, 28 Aug | Get your application in now before you miss out!

Closing date: Closing date not specified

job Ref: 7f069828d2304cae85ddfa5296ad6187

Full Job Description

  • To conduct internal investigations when directed by Compliance management.

  • To conduct investigations as required by external Regulatory bodies.

  • To provide regulatory support and advice to the firms internal stakeholders.

  • To assist the Advisory team with carrying out their day-to-day tasks, Core Activity

  • Provide day-to-day advice to all the business areas in conjunction with and as directed by the Compliance Advisory team

  • Conduct investigations (regulatory and internal) when required.

  • Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the group.

  • Be alert to Conduct Risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm.

  • Escalate any issues identified to the according to the escalation procedures.


    • Compliance Risk Management Framework
  • Provide input into assessing the effectiveness of the Risk Assessments.

  • Support the Compliance Reviews Team Manager, Head of Compliance and the MLRO with investigations of suspicious behaviour.

    A good understanding of the FCA handbooks and the ability to apply the knowledge to a commercial environment.

  • A good working knowledge of a wide range of financial product and services.

  • Knowledge of financial products advantageous.

  • Appropriate professional/industry qualifications.

  • The ability to perform risk based analysis of MI and to identify risks and remediation actions.


    • Systems used:
  • Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters etc.)

  • Excellent PC skills including Word, Excel and PowerPoint., Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation.

  • Excellent report writing.

  • Attention to detail and ability to spot anomalies.

  • Good organisational and time management.

  • Ability to work autonomously or as part of a team.