Geared toward candidates comfortable with regulatory monitoring and policy implementation in a fast-paced trading environment, with a focus on compliance across global derivatives markets and multi-strategy trading in London.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Maven via Greenhouse
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 Compliance Analyst to join our London based Compliance team.
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.
Comprehensive training will be provided to ensure your success and ongoing development in this role.
Key Responsibilities:
Policies, Procedures, and Training Materials
Support the review and update of compliance policies and procedures and assist with the drafting and maintenance of training materials and employee guidance.
Internal Reporting
Support the compilation and coordination of internal compliance reports, including quarterly compliance reports and other periodic disclosures.
Wall-crossing & Restricted List Management
Ensure the safe and effective operation of Maven’s wall-crossing processes and assist with maintaining restricted lists and watch lists. Work directly with our trading business units to support the implementation of effective information barriers.
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.
Prudential Monitoring
Assist the ongoing monitoring of the firm’s prudential obligations and support reporting in accordance with relevant regulatory frameworks.
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.
External Document Requests & Regulatory Enquiries
Assist with responding to requests from regulators and counterparties, including regulatory questionnaires and due diligence enquiries.
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 organisational 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
Source: Maven careers (Greenhouse)