2026 - Senior Compliance Analyst

Title: Senior Compliance Analyst

Team: Trading Compliance

Reports to: Head of Trading Compliance

Location: London

The Company

The Customer is a world-class investment manager in quantitative trading. In order to efficiently deliver its clients’ outsize returns, it has outsourced certain services across the globe to businesses strategically placed in Connecticut, Guernsey and London. These entities, known under trading names Carbon Point, Granite Point, and Lamina Point respectively, are key to RDX’s success.

Based in London, Lamina Point is one of ‘The Points’, which are key to the customer’s ability to leverage quantitative strategies and trade globally.

Working across Operations and Engineering, Lamina Point delivers the expertise and services that enable world-class quantitative research to be traded efficiently, reliably, and at scale.

With a particular focus on technology and engineering, Lamina Point brings deep technical capability and innovative systems to enhance productivity, accelerate decision-making, and strengthen performance across the organisation

About the Team

The Trading Compliance team supports the firm’s global investment and trading activities by providing world-class advice, implementing pre-trade and post-trade controls, and establishing and enforcing policies and governance.

Role Overview

We are looking for a highly motivated compliance professional with the experience to execute the day to day compliance programme for our FCA-regulated entity, Bell Rock Capital Management, and to support the broader Trading Compliance function at the direction of our global Head of Trading Compliance (“HoTC”).

The Senior Compliance Analyst will play a critical role in ensuring Bell Rock operates within the regulatory framework established by the FCA, and will be on a track for an eventual leadership position. This is a unique opportunity for someone ready to take the next step in their career and help our HoTC shape the compliance programme for Bell Rock.

Responsibilities

• Collaborate with the HoTC to enhance the compliance programme for Bell Rock
• Act as the local point of contact for the Bell Rock compliance programme
• Provide compliance advice to Bell Rock investment professionals and staff
• Conduct periodic management reporting to the HoTC and senior stakeholders
• Maintain a regulatory horizon-scanning process so Trading Compliance proactively addresses regulatory changes applicable to Bell Rock
• Update and maintain the Bell Rock Compliance Manual
• Ensure FCA Handbook and FCA Conduct obligations are fulfilled
• Maintain compliance registers for gifts, outside activities, conflicts, PA dealing, and similar
• Own broad regulatory reporting responsibilities for Trading Compliance, including:
• Fulfil daily regulatory reporting obligations including daily position disclosure filings (e.g., EU SSR) and ensure daily transaction reporting submissions are made successfully
• Conduct daily monitoring of positions and manage the disclosure alerts system
• Help the HoTC review and improve existing disclosure monitoring and reporting, including automating where possible
• Fully document and proceduralise the regulatory reporting function
• Lead the Bell Rock trade surveillance monitoring process including review, investigation and management of market abuse exceptions and limit breaches
• Drive the build-out and enhancement of pre-trade and post-trade controls alongside the HoTC, including working with engineering teams to refine automated surveillance logic, calibrate thresholds, and validate data inputs
• Assist in reviewing and approving new trading strategies, venues, counterparties, and products, ensuring regulatory and internal requirements are met
• Participate in periodic risk assessments and control testing, helping the HoTC identify gaps, propose enhancements, and track remediation
• Organise communications for regulatory examinations, enquiries, and audits, including gathering materials and drafting responses
• Support business continuity, operational resilience, and incident management processes, including documenting compliance implications during events
• Design training modules that help educate Portfolio Managers and traders on relevant rules and compliance expectations
• Participate in technology projects, including UAT for compliance systems, updates to surveillance engines, and rollout of new monitoring platforms
• Document processes and build out compliance wiki pages containing summaries of rules and internal guidance
• Implement policies and procedures alongside the HoTC

What makes a great candidate?

• Familiarity with quant/systematic trading
• Highly organised, detail-oriented and process-driven
• Skilled at managing multiple projects under tight timelines, with follow-through to completion
• Collaborative team mindset with a strong sense of ownership
• Exceptional communication and interpersonal skills
• Strong regulatory research capabilities; familiarity with exchange rulebooks and market regulations
• Comfort with technical concepts and data analysis; experience with Excel, with SQL and agentic AI a plus
• A law degree is a plus
• Strong commitment to ethical standards

Minimum Qualifications

• 7+ years of overall compliance experience, including 5+ years at FCA and/or MiFID-regulated investment firms
• Strong knowledge of securities markets regulations including insider trading, Reg M, short selling, and shareholding disclosures
• Strong knowledge of MiFID rules (e.g., transaction reporting) and FCA Handbook rules
• Mastery of global shareholding and short position disclosure rules, with hands-on experience handling EU and UK SSR short position disclosure filings