AEJ Consulting Ltd
Compliance Analyst
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Compliance Analyst
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.
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Requirements
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- 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.
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