Senior Compliance Advisor - Wholesale

MERJE; Greater London; On-site; GBP 147,000 - 155,000; Full time

Job summary

A leading company in the financial services sector is seeking a Senior Compliance Officer to support its wholesale trading business. The role involves providing compliance advice, driving regulatory compliance, and enhancing compliance controls. Ideal candidates will have experience in a similar role within investment banking or trading firms and a thorough understanding of relevant regulations. This position offers a chance to influence compliance strategies and engage with senior stakeholders in a dynamic environment.

Qualifications

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

Responsibilities

• Provide compliance and regulatory advice aligned with FCA regulations.
• Lead analysis and implementation of compliance regulations.
• Conduct horizon scanning for regulatory developments.

Skills

Regulatory Compliance

Stakeholder Management

Advisory Skills

Job description

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A Senior Compliance Officer is required to play a pivotal role in supporting the wholesale trading 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

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

Required Skills & Experience

• 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.
• A solid understanding of applicable regulations such as MiFID II.
• Proven ability to interact with senior stakeholders and be a trusted advisor.

Please note that your application has been unsuccessful if feedback is not received within 28 days. By applying for this role, you may be registered on our database so we can contact you about suitable opportunities in the future. Your data will be managed in accordance with our Privacy Policy, which can be found on our website.

Applicants must be in the UK and eligible to work without sponsorship.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Financial Services and Investment Banking

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