Senior Advisor

MERJE Ltd; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Officer to enhance compliance across its Securities business. This pivotal role involves providing expert compliance advisory, ensuring alignment with FCA regulations, and implementing robust compliance controls. You will represent compliance in strategic discussions and lead the analysis of regulatory changes, ensuring the business adapts effectively. If you have a strong background in compliance within investment banking or securities trading and are ready to drive regulatory initiatives, this opportunity is perfect for you.

Qualifications

• Experience in compliance advisory role at AVP/manager or VP/Senior Manager level.
• Solid understanding of regulations like MiFID II.

Responsibilities

• Act as the SME for equities or FX and provide compliance advice.
• Lead analysis and implementation of compliance regulations.
• Support execution of the Compliance Monitoring Programme.

Skills

Compliance Advisory

Regulatory Compliance

Stakeholder Management

MiFID II Knowledge

Job description

Job Description

A Senior Compliance Officer is required to play a pivotal role in supporting the Securities business across all aspects of compliance advisory and general BAU second line compliance duties.

Your expertise as a Senior Compliance Officer will help drive regulatory compliance, support strategic business initiatives, and build robust compliance controls while providing advice on complex regulatory matters. The team you’ll be joining is a second-line compliance advisory function.

Key Responsibilities

1. Act as the Subject Matter Expert (SME) for equities and or FX
2. Provide day-to-day compliance and regulatory advice, ensuring alignment with FCA regulations and other applicable laws.
3. Lead the analysis, interpretation, and implementation of relevant laws and compliance regulations, ensuring the business adapts effectively to changes.
4. Strengthen and enhance the compliance framework, ensuring robust controls for new business initiatives.
5. Represent compliance in key stakeholder discussions, offering strategic input and regulatory guidance.
6. Conduct horizon scanning to monitor regulatory developments and ensure proactive compliance measures are taken.
7. Support executing the firm’s Compliance Monitoring Programme (CMP), including deep-dive compliance reviews.

Required Skills & Experience

1. In a similar compliance advisory role operating at the experienced AVP/manager level or a VP/Senior Manager level, ideally within investment banking, trading houses, or securities trading firms.
2. A solid understanding of applicable regulations such as MiFID II.
3. Proven ability to interact with senior stakeholders and be a trusted advisor.