Maven
Compliance Analyst
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Compliance Analyst
Maven is a market-leading proprietary trading firm deploying its own capital across discretionary, systematic, and market-making strategies. Backed by deep expertise in trading, technology, and research, we are relentlessly focused on improving liquidity across global listed derivatives. Through advanced execution and pricing technologies, we improve how financial markets operate.
We are looking for a Compliance Analyst to join our London-based Compliance team.
About the Role
As a Compliance Analyst, you will contribute to the effective operation of the firm according to its regulatory and internal policy requirements as they apply across the diverse range of trading activities carried out. You will also add value supporting this firm in achieving its forward-looking growth and development plans. In doing so, you will gain exposure to key aspects of compliance, supporting electronic options market making and multi-strategy trading (encompassing proprietary equity and bond strategies such as event trading and equity capital markets), regulatory monitoring, prudential compliance, policy implementation, and employee trading oversight.
The successful candidate will thrive in a fast-paced proprietary trading environment. As Maven continues to develop and to expand its business activities, the complexity of the regulatory and exchange landscape, within which we operate, increases in parallel. Our aim is to ensure Compliance provides market-leading support for the firm and, in doing so, ensures its safe, effective, and sustainable growth and development.
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Key Responsibilities
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Policies, Procedures, and Training Materials
- Support the review and update of compliance policies and procedures.
- Assist with the drafting and maintenance of training materials and employee guidance.
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Internal Reporting
- Support the compilation and coordination of internal compliance reports, including quarterly compliance reports and other periodic disclosures.
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Wall-crossing & Restricted List Management
- Ensure the safe and effective operation of Maven’s wall-crossing processes.
- Assist with maintaining restricted lists and watch lists.
- Work directly with our trading business units to support the implementation of effective information barriers.
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Operational Compliance
- Support Maven’s extensive operational compliance framework, contributing to processes such as those related to personal account dealing.
- Escalate potential compliance issues and contribute to documentation and reporting.
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Prudential Monitoring
- Assist the ongoing monitoring of the firm’s prudential obligations.
- Support reporting in accordance with relevant regulatory frameworks.
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Regulatory Reporting
- Assist in the preparation and validation of regulatory filings required under UK, EU, US, and other relevant regimes.
- Work with the team to ensure timely and accurate submissions.
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External Document Requests & Regulatory Enquiries
- Assist with responding to requests from regulators and counterparties, including regulatory questionnaires and due diligence enquiries.
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Training & Attestation Administration
- Coordinate the tracking and completion of mandatory compliance training and attestations across the firm.
Experience & Qualifications
- Minimum of 2-3 years’ experience in a relevant legal or compliance role is required.
- Strong attention to detail, excellent organizational skills, and the ability to manage multiple tasks according to tight deadlines.
- Effective communication skills and a collaborative approach.
- Eagerness to learn - full training on compliance procedures will be provided.
Desirable Skills
- Technical: Excel, SQL, Python
- AI: Utilising AI in information gathering, providing advice, task automation, and to improve general efficiency
What We Offer
- Competitive compensation package
- Annual discretionary bonus
- Group pension plan
- Enhanced annual leave allowance after 2+ years’ service
- 25 days’ annual leave (plus public holidays)
- Fully catered breakfast, lunch, and snacks prepared by an in-house chef
- Private healthcare and life assurance
- On-site private gym with instructor-led classes including boxing, yoga, and more
- Monthly company events and social activities
- Work in a forward-thinking environment where AI is integral to our strategy and daily operations
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