Compliance Officer, Financial Market Compliance Advisory, CCOR

Lloyds Banking Group; London; Hybrid; GBP 63,000 - 71,000; Full time

Job summary

An established industry player is seeking a junior Compliance Officer to join their Financial Markets Compliance Advisory team. This role involves providing compliance advice on regulatory requirements, supporting the implementation of new regulations, and delivering training to new hires. The ideal candidate will have experience in compliance advisory, strong communication skills, and the ability to collaborate effectively with business areas. This dynamic organization fosters a culture of growth and inclusivity, making it an exciting time to join their journey of transformation in risk management.

Benefits

Generous pension contribution of up to 15%

Annual performance-related bonus

Share schemes, including free shares

Flexible benefits such as discounts on shopping

28 days’ holiday plus bank holidays

Wellbeing initiatives and parental leave policies

Qualifications

• Experience in compliance advisory within financial markets.
• Knowledge of UK FCA regulations and trading venue rules.

Responsibilities

• Provide compliance advice on FCA and trading regulations.
• Deliver compliance training for new hires and support projects.

Skills

Compliance Advisory Experience

Risk Management

Communication Skills

Collaboration

Technical Knowledge in FX and Commodities

Job description

JOB TITLE: Compliance Officer, Financial Market Compliance Advisory

SALARY: £63,711 - £70,790

LOCATION(S): London

HOURS: Full-time

WORKING PATTERN: Our work style is hybrid, involving at least two days per week, or 40% of our time, at one of our office sites.

About this opportunity

We’re on an exciting journey and there couldn’t be a better time to join us. We’ve implemented a new operating model for non-financial risk management across the Group, empowering our people to take end-to-end accountability for managing the risks they face. This approach has transformed our risk management processes, providing targeted support to our risk and control owners to deliver excellent customer outcomes.

We’re seeking a junior Compliance Officer with industry advisory compliance experience to join our Financial Markets Compliance Advisory team. Your role will support the Group in adhering to core regulatory requirements related to UK FCA, Trading Venue, Swap Dealer rules, and FMSB Market Practice Standards. We value candidates who bring compliance advisory experience from similar organizations and enjoy proactively collaborating with first-line business colleagues to enhance compliance processes and controls.

Day-to-day responsibilities include:

• Joining our Financial Markets and Treasury Compliance team to deliver our 2025 compliance programmes and acting as a trusted Conduct & Compliance business partner to support business outcomes aligned with regulatory requirements.
• Providing compliance advice on issues including:
  - FCA COB, MAR, SYSC, DTR, RCB, and SUP Handbook rules
  - Trading Venue rules and operational requirements
  - UK and European regulations covering Derivatives, Money Markets, Issuance, and Securitisation activities
  - Advising on new products and complex transactions
  - FMSB Practice Standards, the UK Money Market Code, and the Global FX Code
• Delivering Compliance Induction Training for new hires and refresher training for colleagues.
• Supporting the implementation of new regulations across the business.
• Providing ad hoc support for compliance projects and business transformation initiatives.

Why Lloyds Banking Group

We’re on an exciting journey, investing in our people, data, and technology to enable innovative projects, new opportunities, and a dynamic working environment. We foster a culture of learning and growth, encouraging our people to thrive.

What you’ll need:

• Proven experience in providing challenge and advice to business areas within a peer group firm.
• Technical knowledge and exposure to Rates, FX, and Commodities trading and risk management products.
• Ability to build partnerships and collaborate effectively, supporting leadership and risk owners in making risk-based decisions aligned with our risk appetite.
• Initiative, drive, and curiosity to engage with sales and trading teams to deliver suitable advice and solutions.
• Strong written and verbal communication skills.
• Comfort working in a fast-paced environment, proactively engaging with sales and trading colleagues to build relationships.

About working for us

We are committed to inclusivity and diversity, striving to create an environment where everyone feels they belong and can perform at their best. Our initiatives include goals for diversity in senior roles, health and wellbeing programs, and support for under-represented groups. We are disability confident and happy to make reasonable adjustments during recruitment.

Our benefits include:

• A generous pension contribution of up to 15%
• Annual performance-related bonus
• Share schemes, including free shares
• Flexible benefits such as discounts on shopping
• 28 days’ holiday plus bank holidays
• Wellbeing initiatives and parental leave policies

If you’re ready to make a positive impact, learn, grow, and thrive, apply today to find out more.