Senior Compliance Advisory Officer

BGC Group; London; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A leading capital markets firm in London is seeking a Senior Compliance Advisory Officer to provide expert compliance guidance across Investment Banking and Sales & Trading. The ideal candidate will have over 5 years of experience in compliance advisory roles, specifically within the financial services sector. In this hybrid role, you will work on strategic initiatives and ensure compliance with evolving regulatory expectations, making a significant impact on the business's future.

Qualifications

• 5+ years of experience in Compliance Advisory roles, preferably in Investment Banking and Sales & Trading.
• Proven ability to develop compliance frameworks and monitoring programs.
• Excellent communication skills to influence senior stakeholders.

Responsibilities

• Partner with the Head of Compliance on strategic growth projects.
• Deliver real-time advisory support to front-office teams.
• Interpret and apply regulations to key business activities.

Skills

Experience in Compliance Advisory roles

Strong knowledge of UK, EU, and global regulations

Excellent interpersonal skills

Job description

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Senior Compliance Advisory Officer, London

Client: BGC Group

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Reference: be5b62c81f80

Job Views: 15

Posted: 12.08.2025

Expiry Date: 26.09.2025

Job Description:

Job Opportunity: Senior Compliance Advisory Officer (Director / Executive Director)

Hybrid | Central London

Department: CFE Compliance

Reports to: Head of CFE Compliance

Cantor Fitzgerald Europe (CFE) is a dynamic and fast-growing capital markets and financing business, spanning Investment Banking and Sales & Trading. As a crucial part of this high-energy environment, the CFE Compliance team enables growth through proactive, solutions-oriented regulatory support.

We’re a collaborative, forward-thinking team looking for someone who thrives on challenge, embraces change, and is excited to shape the future of a rapidly scaling business.

The Role

As a Senior Compliance Advisory Officer, you will be a key partner to the business, providing expert compliance guidance across Investment Banking, Sales & Trading, and optionally, Portfolio and Asset Management. This role is pivotal in ensuring strong controls around market conduct, conflicts of interest, and the handling of material non-public information (MNPI). You’ll support strategic initiatives including new product launches, market expansion, and regulatory change—embedding compliance into the heart of business innovation.

Key Responsibilities

• Partner with the Head of Compliance and wider teams on strategic growth projects, including new business lines, geographic expansion, and digital transformation.
• Deliver real-time advisory support to front-office teams across Investment Banking, Sales & Trading, and Research.
• Interpret and apply regulations (MAR, MiFID II, FCA Handbook, SEC rules) to key business activities such as deal structuring and trade execution.
• Develop and maintain compliance policies and procedures aligned with evolving regulatory expectations.
• Design and implement monitoring and testing plans to evaluate and enhance control effectiveness.
• Lead regulatory risk assessments and collaborate with Legal, Risk, Finance, and business teams to ensure robust controls.
• Contribute to regulatory horizon scanning and strategic readiness planning.
• Deliver training on conduct risk, regulatory requirements, and compliance obligations.
• Present compliance MI and updates to senior leadership and governance committees.
• Interface with regulators, auditors, and internal assurance teams as needed.

What We're Looking For

• + years of experience in Compliance Advisory roles, with expertise in Investment Banking and Sales & Trading (Asset/Portfolio Management experience a plus).
• Proven ability to develop and maintain robust compliance frameworks and monitoring programs.
• Deep knowledge of UK, EU, and global regulations (MAR, MiFID II, DTR, SSR).
• Strong track record in supporting strategic business initiatives and regulatory change.
• Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.