Compliance and Regulatory Analyst

  • Location

    City of London, London

  • Sector:

  • Job type:


  • Salary:


  • Contact:

    Holly Jenkins

  • Contact email:


  • Job ref:


  • Published:

    7 months ago

  • Startdate:



To assist with the administration and management of regulatory relationships and compliance, focus being on clearing, covering EU and US, but including market side as appropriate.


  • Keep abreast of and apply all relevant regulations in respect of regulated clearing activities including but not limited to FMSA (2000), EMIR, DCO Regulations, SCA Regulations, CCA Regulations, and PFMIs.
  • Assist with the review and implementation of regulatory change in the business.
  • Undertake thematic compliance monitoring arising from the Compliance Monitoring and Testing Programme.
  • Assist with assurance in respect of continued compliance with the new regulatory landscape and maintenance of licenses.
  • Provide analytical, supervisory and administrative support as well as assisting with the engagement with appropriate stakeholders at national and supranational regulators within the EU and the US (other jurisdictions may also be relevant), including tracking, monitoring and organisation of initiatives.
  • To work with colleagues to ensure compliance with regulatory and legislative requirements.
  • Provide timely advice and guidance to stakeholders regarding regulatory requirements and related controls and procedures.
  • Manage the administration, collation and/or drafting of briefing notes, regulatory responses and reports relating to compliance with requirements, focus being on clearing.
  • To work with colleagues to ensure regulatory developments are integrated/implemented into documentation (e.g. Rules, Procedures and internal policies) and processes.
  • Assess, review and enhance compliance processes to ensure they remain current and fit for purpose.
  • Manage and coordinate responses to standing and ad hoc regulatory requests.
  • Assist with the administration of regulatory reports and submissions (standing and for projects).
  • Manage discrete regulatory processes to delivery.



  • Educated to degree level or equivalent experience.
  • Excellent administrative/organisational skills, preferably from a financial services environment are essential.
  • Strong IT literacy and writing and analytical skills.
  • Ability to analyse and understand rules based documents.
  • Strong communication and organisational skills.
  • Strong team player.
  • The candidate must be multi-disciplined in their approach to managing business priorities.
  • The candidate must be articulate with good interpersonal skills as they will be communicating processes (including written documents) and procedures to all levels throughout the business.
  • Some regulatory/compliance experience and knowledge of clearing/exchange operations is desirable.
  • Motivated by a desire to expand knowledge and committed to project delivery is desirable.

We are Social