Compliance Advisory Manager - Trading

MERJE; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

MERJE partner with a leading financial services business to recruit a Compliance Advisory specialist into its UK Compliance function. This is a broad, hands-on role spanning advisory, conduct, regulatory change and compliance oversight.

The role involves supporting Consumer Duty activities, providing input on new products and services, and guiding regulatory change across projects. You will also help manage issues, breaches, and develop policies while building strong cross-business relationships.

Qualifications

• Broad compliance experience across advisory, regulatory change, and oversight.
• Understanding of retail investment or trading products.
• Experience translating regulation into guidance for stakeholders.
• Strong communication and stakeholder management skills.

Responsibilities

• Support Consumer Duty activity and the ongoing assessment of customer outcomes.
• Provide compliance input into new products, services and business developments.
• Support regulatory change and implementation projects.
• Assist with compliance issues, breaches and associated remedial activity.
• Maintain and develop compliance policies, procedures and guidance.
• Build strong relationships across the business, providing pragmatic advice and constructive challenge.

Skills

Regulatory advisory

Stakeholder management

Regulatory change

Policy development

Job description

MERJE is partnering with a leading financial services business to recruit a Compliance Advisory specialist into its UK Compliance function.

This is a broad, hands-on compliance role supporting a growing business where you will take on work across advisory, conduct, regulatory change and compliance oversight.

Key Responsibilities

• Support Consumer Duty activity and the ongoing assessment of customer outcomes.
• Provide compliance input into new products, services and business developments.
• Support regulatory change and implementation projects.
• Assist with compliance issues, breaches and associated remedial activity.
• Maintain and develop compliance policies, procedures and guidance.
• Build strong relationships across the business, providing pragmatic advice and constructive challenge.

You should have:

• Broad compliance experience across advisory (COBS, CASS, MiFID/EMIR, Consumer Duty etc.) relating to trading desks and/or product governance (new product/service launches)
• An understanding of retail investment or trading products; knowledge of CFDs or derivatives would be advantageous.
• Experience advising commercial stakeholders and translating regulation into practical guidance.
• Strong communication and stakeholder management skills.
• A pragmatic, commercially aware approach to compliance.