Compliance Analyst

About this role

Our client is seeking a Compliance Analyst to sit close to the trading and brokerage desks and support the full breadth of the compliance function. This is a hands-on, front-facing role covering regulatory advisory, exchange rules, position limits, transaction reporting, market abuse surveillance and client onboarding.

The role suits a recent graduate or someone with up to a year of experience who wants genuine exposure to a commodity derivatives trading environment rather than a narrow, siloed compliance seat. New joiners attend the firm’s trader training programme early on to build a real understanding of the products they are overseeing.

Key Responsibilities

• Provide regulatory guidance and exchange rule interpretations to international trading and brokerage teams.
• Manage operational compliance responsibilities, including trader set-up across multiple exchanges and execution platforms.
• Conduct daily monitoring of exchange position limits across multiple jurisdictions and coordinate position limit exemption applications.
• Ensure transaction reporting compliance for exchange-traded commodity derivatives, options, give-ups and FX trades.
• Calculate capital adequacy requirements under FCA and DFSA regulations.
• Perform daily market abuse surveillance activities and escalate alerts as appropriate.
• Develop and enhance client onboarding processes for institutional and retail segments across research, CFD, spread betting and institutional brokerage services.
• Review and amend Master Brokerage and Master Service Agreements with prospective clients and third-party service providers.
• Support wider compliance project work, including regulatory initiatives, policy updates and remediation.
• Attend the firm’s trader training programme to deepen expertise in the commodity derivatives trading environment and strengthen regulatory oversight capabilities.

Requirements

• 0–1 year of experience in compliance, regulatory reporting, risk or trading operations — strong graduates and internship experience will be considered.
• Degree in Law, Finance, Economics or a related discipline.
• Genuine interest in commodities and derivatives markets, and a willingness to learn the products in detail.
• Strong attention to detail and comfort working with daily deadlines and numerical data.
• Confident communicating directly with traders, brokers and senior stakeholders.
• Competence in Excel; exposure to SQL or Python is a plus but not required.
• Awareness of the FCA regulatory environment; knowledge of MiFID II, EMIR or exchange rulebooks is advantageous.
• Self-starter who thrives in a fast-moving, lean team rather than a large process-driven function.

About compliance & regulatory roles for ex-police

Compliance, AML and regulatory roles. Working to PACE, RIPA and CPIA is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.