Compliance Business Analyst (Trade Surveillance and KYC) (m/f/d)

Summary: The Compliance Business Analyst role focuses on Trade Surveillance and KYC within a fast-paced financial services environment. The position requires collaboration with various stakeholders to ensure compliance with regulatory requirements while enhancing systems and processes. The successful candidate will lead business analysis across multiple projects, contributing to the development of monitoring systems and KYC frameworks. This role offers the opportunity to work on strategic initiatives within a globally recognized institution.

Key Responsibilities:

• Engage with stakeholders (compliance, operations, technology, and front office) to elicit, analyse, and document business and functional requirements.
• Translate complex regulatory and compliance needs into clear and actionable specifications for development teams.
• Produce high-quality Business Requirements Documents (BRDs) and Functional Specification Documents (FSDs) tailored for both technical and non-technical audiences.
• Lead the business analysis function across multiple workstreams within the end-to-end project lifecycle, from initiation through post-implementation support.
• Define and present solution options to stakeholders, including impact analysis and, where applicable, sample calculations using production data.
• Support technical and operations teams in designing robust, scalable solutions for trade surveillance alerts, client onboarding, and data validation.
• Develop and manage test plans and cases, execute tests, and support business users during UAT cycles.
• Provide regular project updates, risk logs, and status reports to senior management and governance forums.
• Proactively identify and escalate project risks, dependencies, or scope changes to ensure timely resolution.
• Facilitate workshops, meetings, and presentations to communicate findings, progress, and implementation plans.

Key Skills:

• 5+ years of Business Analysis experience within the financial services industry, preferably in a Tier 1 bank or consulting firm.
• Solid understanding of Trade Surveillance platforms, market abuse monitoring, and alert tuning methodologies.
• Extensive experience with KYC processes, including client onboarding, client data management, and regulatory reporting requirements (e.g., AML, Sanctions, PEP screening).
• Working knowledge of compliance systems and feeds including Legal Entity Management, Client Reference Data, and external data vendors.
• In-depth understanding of regulatory frameworks such as GDPR, SOX, Financial Crime Compliance (FCC), MiFID II, and FATF standards.
• Strong domain knowledge across financial products: Equities, Bonds, Derivatives, FX, Credit Instruments, Securities Financing, and Deposits.
• Demonstrated success delivering complex cross-functional projects under tight deadlines and with multiple stakeholder groups.
• Exceptional verbal and written communication skills, with the ability to interface effectively with both business and technical stakeholders, including senior management.
• Strong analytical mindset with keen attention to detail and a problem-solving approach.
• Highly organized and self-motivated, able to take ownership of deliverables and manage priorities independently.
• Comfortable working in high-pressure, regulatory-driven environments with shifting priorities and tight timelines.
• Familiarity with data analysis tools (e.g., SQL, Excel, Tableau) and experience with compliance technology platforms (e.g., Actimize, NICE, or Smarsh) is a plus.

Salary (Rate): £650

City: London

Country: United Kingdom

Working Arrangements: hybrid

IR35 Status: inside IR35

Seniority Level: Mid-Level

Industry: Finance