Our client is an entrepreneurial brokerage firm based in the West end , seeking a keen compliance professional to get involved in a broad range of duties.
THE RESPONSIBILITIES:
Provide strategic regulatory advice to senior management on market conduct, trading venue obligations, and regulatory risk
Act as a key contact for regulatory matters, supporting engagement with regulators and ensuring timely responses to enquiries
Lead regulatory horizon scanning and implementation of change initiatives impacting brokerage and trading activities
Oversee MiFID II compliance, including transaction reporting, transparency, and instrument reference data
Support operation and governance of the firm’s OTF, including rulebook interpretation and participant guidance
Contribute to regulatory reporting obligations (FCA RegData, Connect), ensuring accuracy and timeliness
Implement and enhance compliance controls, policies, and monitoring frameworks
Collaborate closely with international offices on cross-border compliance and regulatory alignment
Lead ad hoc compliance projects, including control enhancements and regulatory remediation initiatives
Strengthening compliance culture through proactive training enforcement
EXPERIENCE REQUIRED:
Ideally 3 years+ experience within a financial services firm
Regulatory compliance experience
Candidates should enjoy working within a small business and thrive on working on a variety of different tasks
Ideally exposure to regulatory reporting and similar reporting and metric
Keen and commercially-minded individual
For further information please contact Natalie Eshelby
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