Regulatory Compliance Advisor – Financial Markets

Compliance Professionals; Greater London; On-site; GBP 55,000 - 70,000; Full time

Job summary

A full-service investment brokerage company in Greater London seeks a compliance advisor to oversee regulatory audits and monitor compliance with local regulations. Responsibilities include reviewing requests from exchanges, conducting audits, and ensuring data integrity in compliance reports. Ideal candidates will have experience with industry products and compliance tasks. Strong analytical skills and knowledge of compliance monitoring are essential. This role offers an opportunity to contribute to a robust compliance culture within a leading financial firm.

Qualifications

• Understanding and experience of industry products.
• Experience with compliance tasks in related sectors.
• Desirable knowledge of EMIR/MiFIR reporting.

Responsibilities

• Review audit requests from Exchanges and Regulators.
• Conduct FATCA and CRS Audit and Advisory.
• Monitor MiFIR and EMIR reporting.
• Maintain compliance data and records.
• Support CASS Compliance Monitoring.

Skills

Understanding of industry products (securities, futures, options)

Experience with Compliance tasks

Intermediate Microsoft Office skills

Ability to learn internal systems

Tools

UnaVista

Job description

A full-service investment brokerage company in Greater London seeks a compliance advisor to oversee regulatory audits and monitor compliance with local regulations. Responsibilities include reviewing requests from exchanges, conducting audits, and ensuring data integrity in compliance reports. Ideal candidates will have experience with industry products and compliance tasks. Strong analytical skills and knowledge of compliance monitoring are essential. This role offers an opportunity to contribute to a robust compliance culture within a leading financial firm.