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Job Title: Senior Compliance Advisory Manager
Location: London - Hybrid working
- Regulatory Advisory: Provide regulatory advice to the business, build strong relationships, and offer constructive challenge when needed.
- Project Management: Lead ad-hoc compliance projects, including process updates, regulatory requests, and breach reviews.
- Business Change: Provide compliance guidance on new business initiatives, product launches, and broker onboarding.
- Investigations: Investigate breaches and incidents, assess conduct issues, recommend remedial actions, and assist with regulatory responses.
- Regulatory Analysis: Monitor and assess changes in financial regulations and their impact on the firm.
- Compliance Monitoring: Help develop and enhance monitoring programs, resolve alerts, and perform deep-dive trade surveillance.
Skills:
- Experience in compliance within wholesale financial markets brokerage.
- Strong knowledge of spot markets, derivatives, and front-office operations.
- Familiarity with UK/EU market abuse, market conduct, and best execution practices.
- Preferable experience with electronic surveillance tools and industry platforms like Bloomberg or Reuters.
