Senior Compliance Officer - Advisory

MERJE Ltd; London; On-site; GBP 65,000 - 90,000; Full time

Job summary

Une société de services financiers bien établie recherche un Compliance Manager basé à Londres. Le candidat idéal aura de l'expérience au niveau AVP ou Manager dans des environnements de banque d'investissement ou de trading. Ce poste implique de guider la conformité réglementaire tout en représentant les intérêts des parties prenantes.

Qualifications

• Experience dans un rôle de conseil en conformité au niveau AVP/Manager.
• Compréhension solide des réglementations telles que MiFID II.

Responsibilities

• Agir en tant qu'expert en matière de conformité, en fournissant des conseils réglementaires.
• Renforcer le cadre de conformité avec des contrôles robustes pour les nouvelles initiatives.

Skills

Compliance Advisory

Ability to interact with senior stakeholders

Job description

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

• Experience in a similar compliance advisory role at the AVP/Manager level or higher, 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 act as a trusted advisor.

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

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