Compliance Advisory Manager, Prime (Institutional)

IG Index Limited; City Of London; Presencial; GBP 90 000 - 120 000; Tempo integral

Resumo da oferta

IG Index Limited invites an experienced Compliance Advisory Manager to join the Prime (Institutional) team in London. You will act as the primary compliance advisory contact, guiding institutional activities and ensuring regulatory standards are met while balancing commercial goals.

You will review financial promotions, contribute to product/platform developments, and monitor regulatory changes. This role requires strong stakeholder engagement and on-site presence in London at least three days

Qualificações

• 5–8 years of compliance experience in financial services
• Experience advisingPrime/institutional or professional client/DMA desks
• Strong knowledge of FCA rules (COBS, CASS, MAR, MiFID II, EMIR)

Responsabilidades

• Provide first-line compliance advisory to Prime team
• Review/approve financial promotions for Prime/institutional products
• Advise on regulatory treatment, client onboarding, and conduct-of-business

Conhecimentos

Compliance advisory

Regulatory expertise

Stakeholder management

Formação académica

Bachelor's degree (Law/Business/Economics/Finance)

Descrição da oferta de emprego

Compliance Advisory Manager, Prime (Institutional) Job Description

Who are we? IG is a FTSE 100 fintech operating across five continents, serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof. We didn't pivot to innovation; it's how we've always operated. What that means for the people who work here is real: genuinely complex problems to solve, the technology and resources to tackle them properly, and the kind of scope that's rare in established businesses. The bar is high – bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG – the future gets built here.

What’s the role?

This role sits within our Line 2 Compliance function and is responsible for providing first-line support and advice to the Prime business – IG’s institutional and professional client offering. Acting as its primary compliance advisory contact, the role works closely with various stakeholders including Risk, Finance, Operations and Legal and partners day-to-day with the Prime desk. Reporting to the Head of Compliance Advisory, you will provide expert compliance advice, guidance and challenge to institutional business teams, ensuring regulatory standards are met, while balancing commercial objectives and risk appetite. You should be able to work in a multi-dimensional business environment that is heavily client focused and organise your time to deal with real-time issues, as well as delivering on a diverse project workload.

What will you do?

Act as the primary compliance advisory contact for the Prime team, providing timely, practical, and risk-proportionate regulatory advice on institutional business activities. Review and approve financial promotions relating to Prime and institutional products, ensuring content is fair, clear, and not misleading and meets regulatory standards. Provide compliance input into new product or platform development and change initiatives affecting the Prime business, identifying regulatory requirements and risks early and shaping mitigations into design. Advise on the regulatory treatment of institutional and professional client activity, including client categorisation, onboarding, and conduct-of-business requirements. Monitor relevant regulatory developments affecting institutional and Prime business models and translate changes into clear guidance and action for the business. Build and maintain strong working relationships with Prime desk heads and business stakeholders, embedding compliance as a trusted partner rather than a gatekeeper. Undertake horizon-scanning, thematic reviews, and ad hoc regulatory projects relevant to institutional business. Maintain accurate records of advice given, financial promotion approvals, and project sign-offs to evidence compliance oversight. Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework.

What will you need for this role?

To succeed in this role, we think you'll need:

Experience & Education

• At least 5–8 years’ compliance experience within financial services, with strong experience in advising a Prime, institutional or professional client/DMA desk.
• Strong technical/regulatory expertise in areas typically associated with Prime/institutional business as well as wider FCA rules such as COBS, CASS, MAR, MiFID II and EMIR ReFIT as they apply to institutional and professional client business.
• Experience working with various trading desks in fast-paced environments with tight delivery timelines.
• Strong understanding of financial products, ideally including trading or investment products.
• Bachelor's degree in Law, Business, Finance, Economics or related field.

Personal Attributes

• Acts with integrity and consistently demonstrates high professional and ethical standards.
• Delivers high-quality work with energy, accountability, and a strong sense of urgency.
• Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection.
• Committed to continuous improvement in controls and ways of working.
• Communicates clearly and manages stakeholders effectively.
• Collaborates constructively while providing confident and effective challenge.
• Demonstrates sound judgement and resilience.
• Comfortable working from IG’s London office a minimum of three days per week.

We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success.

We’re committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that’s why we encourage applications from people with diverse backgrounds and experiences to join us on this journey.

Learn more about our D&I approach here.

What you'll get!

This role will bring with it a range of development and growth opportunities which we hope are motivating for someone who wants to Raise the Bar. We focus on outcomes, not activity. Your success is measured by: Regulatory risk on the Prime business being sufficiently managed and monitored. This includes ensuring Prime activities consistently meet regulatory standards while supporting timely business delivery. Efficient and pragmatic compliance support enables commercial growth while protecting clients and the firm. Strong collaboration and trust built with business and control stakeholders. High individual performance and engagement.

Number of openings 1

Looking for a career at a company that will support you, challenge you and help you grow? IG Group can provide that.

IG Group is a FTSE 100 fintech operating across five continents, serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof. We didn't pivot to innovation; it's how we've always operated. What that means for the people who work here is real: genuinely complex problems to solve, the technology and resources to tackle them properly, and the kind of scope that's rare in established businesses. The bar is high – bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG – the future gets built here.