Compliance Analyst
Posted Today by Obelisk Support
Negotiable
Inside
Onsite
Greater London, England, United Kingdom
Summary: The role of Interim PAD Compliance Analyst involves supporting the Core Compliance team in managing Personal Account Dealing processes within a highly regulated financial services firm in London. The position requires full-time office attendance and entails responsibilities such as onboarding, monitoring, and advising stakeholders on PAD activities. The candidate will work closely with traders and senior portfolio managers while ensuring compliance with regulatory requirements. The engagement is classified as inside IR35, necessitating the use of an umbrella company.
Key Responsibilities:
- PAD onboarding & due diligence: reviewing new joiners' personal brokerage/investment accounts, assessing documentation, and determining account status in line with regulatory requirements
- Surveillance & monitoring: conducting ongoing monitoring of PAD account activity for potential insider dealing and market abuse risks; reviewing trades against pre-clearance requirements; escalating exceptions and breaches
- Stakeholder advisory: acting as day-to-day point of contact for PAD queries from traders and staff, including senior portfolio managers
- Process execution: following established procedures and decision trees to process PAD requests; escalating non-standard scenarios appropriately
Key Skills:
- Prior experience in Personal Account Dealing, employee trading compliance, or a monitoring/control function
- Background in a regulated financial services environment (investment management, banking, brokerage or similar)
- Familiarity with insider dealing and market abuse concepts (MAR/FCA regulatory expectations)
- Confident communicator, comfortable liaising with senior trading and portfolio management staff
Salary (Rate): undetermined
City: London
Country: United Kingdom
Working Arrangements: on-site
IR35 Status: inside IR35
Seniority Level: undetermined
Industry: Finance
We are recruiting on behalf of a highly regulated financial services firm for an Interim PAD (Personal Account Dealing) Compliance Analyst to join their Core Compliance team in London.
Details
- Start: 16 March 2025
- Duration: 3 months (extension possible)
- Location: Central London (full-time office attendance required)
- Capacity: Full-time (5 days per week)
- Engagement: Inside IR35 (umbrella company required)
The Role
You will support the Core Compliance team in managing PAD processes and backlogs, working closely with traders, senior portfolio managers across EMEA, and an offshore support team.
Key responsibilities include:
- PAD onboarding & due diligence: reviewing new joiners' personal brokerage/investment accounts, assessing documentation, and determining account status in line with regulatory requirements
- Surveillance & monitoring: conducting ongoing monitoring of PAD account activity for potential insider dealing and market abuse risks; reviewing trades against pre-clearance requirements; escalating exceptions and breaches
- Stakeholder advisory: acting as day-to-day point of contact for PAD queries from traders and staff, including senior portfolio managers
- Process execution: following established procedures and decision trees to process PAD requests; escalating non-standard scenarios appropriately
What We're Looking For
- Prior experience in Personal Account Dealing, employee trading compliance, or a monitoring/control function
- Background in a regulated financial services environment (investment management, banking, brokerage or similar)
- Familiarity with insider dealing and market abuse concepts (MAR/FCA regulatory expectations)
- Confident communicator, comfortable liaising with senior trading and portfolio management staff
On-the-job training and shadowing will be provided, with responsibilities building progressively. We would like you to be able to perform at your best throughout this recruitment process. Please contact us if you require any adjustments to support you.