Senior Compliance Advisor - Wholesale

JR United Kingdom; Slough; On-site; GBP 60,000 - 85,000; Full time

Job summary

A leading compliance advisory firm is seeking a Senior Compliance Advisor to support their wholesale trading business in Slough. The successful candidate will be responsible for ensuring adherence to regulatory frameworks, driving initiatives for compliance, and engaging with key stakeholders. This strategic role requires expertise in securities regulation and a proactive approach to compliance challenges.

Qualifications

• Experience at the AVP/manager level or higher in compliance advisory.
• Strong understanding of regulations including MiFID II.
• Ability to act as a trusted advisor to senior stakeholders.

Responsibilities

• Provide compliance and regulatory advice in alignment with FCA regulations.
• Lead interpretation and implementation of compliance laws.
• Conduct compliance monitoring and horizon scanning for regulatory changes.

Skills

Regulatory compliance

Stakeholder engagement

Risk management

Job description

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Senior Compliance Advisor - Wholesale, slough

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Client:

MERJE

Location:

slough, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

4

Posted:

31.05.2025

Expiry Date:

15.07.2025

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Job Description:

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.

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