Description

Compliance Advisory Manager required for a leading financial services business, supporting its institutional and professional client trading business.

This is a hands-on advisory role, working closely with trading desks and wider business stakeholders to provide practical regulatory advice in a fast-paced environment.

Key responsibilities

1. Provide day-to-day regulatory advice to trading and business teams.
2. Advise on institutional and professional client activity, including client categorisation and conduct requirements.
3. Support new products, platform developments and business change.
4. Review and advise on Financial Promotions.
5. Provide guidance on regulatory developments and their impact on the business.
6. Work closely with Trading, Risk, Legal and Operations.

What we're looking for

1. Strong Compliance Advisory experience within a trading environment.
2. Good knowledge of COBS, CASS, MAR, MiFID II and EMIR.
3. Experience supporting institutional, professional client, Prime or DMA-related business.
4. Strong understanding of trading and investment products.
5. Comfortable working directly with trading desks and advising on real-time issues.
6. Commercial, pragmatic and able to operate at pace.

London - 3 days per week in the office.