Senior Compliance Advisory Manager

JR United Kingdom; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Advisory Manager to join their dynamic team in London. This role involves providing crucial regulatory advice, managing Compliance projects, and advising on business changes within a fast-paced brokerage environment. The ideal candidate will have a strong background in Compliance, particularly within wholesale financial markets, and a solid understanding of market abuse and best execution practices. This permanent position offers an exciting opportunity to make a significant impact in a lean team focused on excellence and innovation in financial services.

Qualifications

• Experience in Compliance within a leading brokerage firm.
• Understanding of spot markets and derivatives preferred.

Responsibilities

• Provide regulatory advice and maintain constructive relationships.
• Manage Compliance projects and respond to regulatory requests.
• Advise on Compliance input for new business initiatives.

Skills

Regulatory advisory

Compliance project management

Business change advisory

Market abuse knowledge

Electronic market surveillance tools

Job description

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Senior Compliance Advisory Manager, london

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Client:

Location:

london, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

5

Posted:

24.04.2025

Expiry Date:

08.06.2025

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Job Description:

Our client, an Equities Brokerage Firm focussed on listed derivatives; commodities; FX; and structured products, are looking for a Senior Compliance Advisory Manager to join their lean team, based in London.

Responsibilities:

• Regulatory advisory: Provide regulatory advice to the business, developing and maintaining constructive relationships whilst providing challenge where necessary.
• Projects: Manage and conduct ad-hoc Compliance projects, such as changes to Compliance processes, responses to regulatory requests and review/remediation of Compliance breaches.
• Advise on Business change: Provide Compliance input to new business initiatives, product developments, broker onboards.

Requirements:

• Experience working in Compliance within a market-leading brokerage firm specialising in wholesale financial markets.
• Good understanding of spot markets and derivatives in equity, fixed income, commodities and foreign exchange with front office experienced being strongly preferred.
• Knowledge of UK/EU market abuse, market conduct and best execution practices.
• Experience working with electronic market surveillance tools preferable.

The role is a permanent position; if you're interested, please apply!