Compliance Advisor - Wholesale broker

ZipRecruiter; London; On-site; GBP 40,000 - 80,000

Job description

Job Description

We are seeking an experienced Compliance Advisor to join our team and provide regulatory support to our business. This role requires a proactive professional with strong analytical skills and a deep understanding of financial regulations, market abuse rules, and best execution practices. The successful candidate will play a key role in advising on regulatory matters, managing compliance projects, and ensuring our business operates within industry best practices.

Key Responsibilities

Core Tasks

• Regulatory Advisory – Provide expert regulatory advice to the business, fostering constructive relationships while ensuring compliance with relevant laws and regulations.
• Projects – Lead and manage ad-hoc compliance projects, including process enhancements, regulatory responses, and compliance breach reviews.
• Business Change – Offer compliance guidance on new business initiatives, product developments, and broker onboarding processes.
• Investigations – Conduct investigations into compliance breaches and incidents, assess potential conduct issues, and recommend appropriate remedial actions. Assist in regulatory and exchange-related investigations.
• Regulatory Analysis – Monitor and interpret changes in financial regulations and assess their impact on the firm’s operations.

Additional Tasks

• Compliance Monitoring – Support the development and execution of monitoring and surveillance programs, including automated trade surveillance alerts and manual deep-dive reviews.
• Management Reporting – Assist in preparing compliance reports for the Executive Committee and Audit Committee.
• WFH Inspections – Conduct occasional inspections of brokers' home working environments to ensure compliance with regulatory standards.

Skills & Experience Required

• Proven experience in compliance within a firm specializing in wholesale financial markets.
• Strong understanding of spot markets and derivatives across asset classes, including equities, fixed income, commodities, and foreign exchange. Front office experience is highly .
• Knowledge of UK/EU financial regulations, including market abuse, market conduct, and best execution rules.
• Experience with electronic market surveillance tools ().
• Familiarity with industry tools such as Bloomberg or Reuters.
• Excellent analytical skills with the ability to identify key regulatory issues and provide pragmatic solutions in a timely manner.
• Strong communication skills with the ability to challenge and influence stakeholders effectively.
• Ability to work under pressure and within tight deadlines in a fast-paced environment.

What We Offer

• Competitive salary and benefits package.
• Exposure to a dynamic and high-profile financial services environment.
• Opportunities for career growth and professional development.