Compliance Officer - electronic trading (12-month FTC)

Investigo; England; On-site; GBP 50,000 - 70,000; Full time

Job summary

A consulting firm is seeking a Compliance Officer to support market-making activities in electronic trading. The role involves providing compliance advice, overseeing trading activities, and ensuring adherence to UK/EU regulations. Ideal candidates will have 5+ years of experience in compliance within trading firms or investment banks and a solid understanding of financial regulations. This is a full-time position based in England.

Qualifications

• At least 5 years’ experience in electronic trading compliance.
• Strong knowledge of regulatory developments.
• Experience with KYC requests.

Responsibilities

• Provide real-time compliance and regulatory advice to trading desks.
• Oversee daily trading activities and conduct surveillance.
• Interpret and implement regulatory developments.
• Support regulatory requests and audits.
• Handle transaction/position reporting.
• Contribute to compliance training and awareness.

Skills

Experience in financial markets compliance

Knowledge of UK/EU trading venue rules

Understanding of UK/EU financial regulations

Familiarity with FCA SMCR

Job description

Compliance Officer - electronic trading (12-month FTC)

I am looking for a compliance officer to support market-making activities across multiple asset classes, with a focus on surveillance, advisory, and control room functions. Ideal candidates will have at least 5 years’ experience in electronic trading compliance and strong knowledge of UK/EU trading venue rules and regulations.

Responsibilities

• Provide real-time compliance and regulatory advice to trading desks and support functions
• Oversee daily trading activities and conduct trade and communications surveillance, escalating potential issues as required
• Interpret and implement regulatory developments, assisting with policy updates and compliance monitoring reviews
• Support regulatory requests, audits, and the preparation of filings to regulators (e.g., AFM, FCA, AMF)
• Handle transaction/position reporting (MiFIR, EMIR, CPR) and assist with KYC requests
• Contribute to compliance training and awareness initiatives across the business

Requirements

• Strong experience in financial markets compliance, ideally within trading firms or investment banks
• Knowledge of UK/EU trading venue rules
• Strong understanding of UK/EU financial regulations, including MiFID, MAR, MiFIR, EMIR, CPR, etc.
• Familiarity with the FCA SMCR

This is a Mid-Senior level position, with a Full-time employment type, in the Consulting job function, within the Capital Markets, Financial Services, and Investment Banking industries.