Associate Compliance Specialist - Eximius Finance

The successful applicant will need to be proactive, with an interest in the regulatory environment: Provide compliance advice to the business with a focus on execution services. Knowledge of MAR, transaction reporting, trade reporting, and CASS required. Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate. Drafting and submission of STORs. Investigate and manage responses to ad hoc regulatory or exchange queries. Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required. Understanding of Takeover panel reporting requirements is preferrable. Undertake monitoring of business and staff activities for both the research and trading sides of the business as outlined in the compliance monitoring programme. Deliver induction training sessions and develop ad hoc training for different departments within the firm. Depending on experience the candidate will also be responsible for: KYC and AML checks SMCR processes including SMF Applications and Certification Key Skills and Experience Required In the region of 5 years’ experience in a compliance function ideally from an equities/stockbroking background with a professional client-base. Candidates with less than 5 years’ experience with highly relevant experience will also be considered. Previous experience of providing advice on regulatory reporting, and market abuse matters. Passed relevant CISI examinations (preferred) or be willing to do so.

Location: London, GB

Posted Date: 7/6/2025