Compliance, Global Banking & Markets – Public Compliance, Analyst – London

Overview

In this role, you support the Global Banking and Markets – Public Compliance team in London, focusing on Credit and Mortgages within FICC. You provide real-time compliance counsel on rules and policies, and help implement controls and training. You’ll review complex initiatives, collaborate with cross-functional teams, and assist in regulatory inquiries and investigations. The role offers impact on risk mitigation and a strong link to the firm’s second line of defense and compliance culture.

Responsibilities

• Provide real-time compliance guidance to the FICC business on regulatory and internal policy matters
• Issue proactive risk mitigation instructions for transactions, new products, and initiatives
• Interpret and implement new rules/regulations
• Develop and deliver ad-hoc and annual compliance training
• Develop and deploy second line controls and assist first line with controls
• Review algorithms and electronic initiatives; assess marketing materials and committee memos
• Coordinate with Global Banking and Markets – Public Compliance, Federation and Financial Crime Compliance on initiatives
• Collaborate with Controllers, Operations, Internal Audit and Legal
• Participate in investigations and audits using firm systems for forensic reviews
• Liaise with local regulators and exchange/MTF operators; coordinate responses to regulatory inquiries

Key requirements

• Analyst or Associate level
• Ability to process large amounts of information and present salient points to senior audiences
• Ability to build relationships with stakeholders across seniority and roles
• Excellent written and verbal communication and presentation skills
• Demonstrable interest in financial services, especially trading-floor Compliance
• Proactive, self-motivated, assertive and well organized
• Take ownership, progress tasks independently, escalate when needed
• Strong analytical, technical and problem-solving skills
• Ability to learn and navigate firm systems for forensic reviews and educate others
• Forward-looking, focused on improving controls and processes
• Ability to work independently and as part of a team
• Capable of handling multiple tasks in a high-paced trading floor environment

• strong communication
• stakeholder management
• proactive mindset
• navigating forensic review systems
• ability to code or understand code (advantage)
• analytical thinking

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