Capital Markets Compliance Manager

ZipRecruiter; London; On-site; GBP 50,000 - 80,000; Full time

Job summary

A fast-paced trading firm in London is looking for a Capital Markets Compliance Manager to oversee compliance for its institutional trading business. This on-site role requires a keen understanding of market conduct regulation and involves trade surveillance, data analysis, and maintaining compliance controls.

Qualifications

• Experience in a compliance, trade surveillance or monitoring role.
• Strong understanding of MAR, MiFID II regulations.
• Detail-oriented and able to work in a fast-moving trading environment.

Responsibilities

• Conduct daily trade surveillance and escalate potential issues.
• Compile and analyse trading data for trends and anomalies.
• Maintain and enhance compliance controls in line with regulations.

Skills

Attention to Detail

Data Analysis

Market Conduct Regulation

Education

1–3 years’ experience in compliance or trade surveillance

Tools

Surveillance Systems

Excel

Job description

Job Description

A fast-paced trading firm is seeking a Capital Markets Compliance Manager to oversee compliance for its institutional trading business across multiple asset classes.

This role is fully on-site in London.

Key Responsibilities

• Conduct daily trade surveillance and escalate potential market abuse or conduct issues
• Compile and analyse trading data to identify trends, anomalies, and risk indicators
• Support ongoing monitoring and auditing of capital markets activity
• Maintain and enhance compliance controls in line with MAR, MiFID II, SM&CR
• Assist with policy updates, compliance training, and regulatory reporting
• Liaise with internal teams to ensure adherence to regulatory obligations

Requirements

• 1–3 years’ experience in a compliance, trade surveillance, or monitoring role within capital markets
• Strong understanding of market conduct regulation (MAR), MiFID II, and related frameworks
• Hands-on experience with surveillance systems and/or Excel-based data analysis
• Detail-oriented, inquisitive, and comfortable working in a fast-moving trading environment