Senior Compliance Advisor - Wholesale

JR United Kingdom; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading company in London is seeking a Senior Compliance Advisor to support wholesale trading compliance. The role involves providing regulatory advice, enhancing compliance frameworks, and representing compliance in stakeholder discussions. Ideal candidates will have experience in investment banking or trading houses and a solid understanding of MiFID II regulations.

Qualifications

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

Responsibilities

• Act as the Subject Matter Expert (SME) for equities and/or FX.
• Lead analysis, interpretation, and implementation of relevant laws and compliance regulations.
• Enhance the compliance framework and controls for new business initiatives.

Skills

Compliance Advisory

Regulatory Advice

Stakeholder Interaction

Job description

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Senior Compliance Advisor - Wholesale, London

Client:

MERJE

Location:

London, United Kingdom

Job Category:

Other

-

EU work permit required:

Yes

Job Views:

3

Posted:

16.05.2025

Expiry Date:

30.06.2025

Job Description:

A Senior Compliance Officer is required to support the wholesale trading business across compliance advisory and BAU second line compliance duties.

Your expertise will help drive regulatory compliance, support strategic initiatives, and build robust controls while providing advice on complex regulatory matters. You will join a second-line compliance advisory team.

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 analysis, interpretation, and implementation of relevant laws and compliance regulations, ensuring effective adaptation to changes.
• Enhance the compliance framework and controls for new business initiatives.
• Represent compliance in stakeholder discussions, offering strategic input and guidance.
• Conduct horizon scanning to monitor regulatory developments and ensure proactive measures.
• Support the firm’s Compliance Monitoring Programme (CMP), including deep-dive reviews.

Required Skills & Experience

• Experience in a similar compliance advisory role at AVP/Manager or VP/Senior Manager level, ideally within investment banking, trading houses, or securities firms.
• Solid understanding of regulations such as MiFID II.
• Proven ability to interact with senior stakeholders as a trusted advisor.

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