Compliance Monitoring Analyst
Core
Second-line oversight of sales activities and trade execution to ensure alignment with MiFID II standards, focusing on selling practices, suitability, and best execution requirements.
Role type
Compliance Monitoring Analyst
Builds
Regulatory compliance assurance for derivative distribution and trade execution
Domain
Financial Services / Fintech / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Analytical skills, MiFID regulations knowledge, Attention to detail, Deadline management, Policy interpretation, Trade data analysis
Preferred skills
Monitoring experience, AML or Compliance certifications
Technologies
Proprietary monitoring tools and systems
Responsibilities
Conduct reviews of front office interactions (calls, emails, chats) to ensure products are sold in line with requirements; Monitor trade data to verify best execution steps; Review client files for Appropriateness Tests or Suitability Reports; Investigate industry and regulatory findings to identify process shortcomings; Keep the Best Execution Policy and Product Governance Framework up to date; Conduct reviews of front office interactions to ensure referrals into EPEU are performed within requirements.
