Compliance Advisor
United Kingdom
Role
Senior second-line Compliance Officer providing regulatory advisory and oversight across the Equities business — covering both execution (sales & trading) and research. Partners with the front office and senior management to manage conduct risk and meet FCA and SMCR obligations.
Key responsibilities
- Advise execution desks on market abuse (MAR), best execution, order handling, inducements, and MiFID II transaction reporting; oversee trade and communications surveillance.
- Advise the research function on independence, conflicts, inducements, and distribution/disclosure controls.
- Manage conflicts of interest, information barriers, wall-crossing, and control of inside information.
- Support the SMCR framework (Statements of Responsibilities, certification, fitness & propriety, conduct rules) and contribute to governance committees and reporting.
- Maintain compliance policies.
- contribute to risk assessment and monitoring plan.
- Manage regulatory interactions, assess regulatory change, and support client classification and financial promotions approval.
Candidate profile
Essential
- Significant compliance experience in an FCA-regulated equities business, covering both execution and research .
- Strong knowledge of the FCA Handbook, MiFID II/MiFIR, and MAR.
- Demonstrable experience supporting SMCR and governance arrangements.
- Track record advising and influencing senior front-office stakeholders.
Desirable
- Experience with surveillance, conflicts, and information barriers.
- Relevant qualification (ICA / CISI Diploma or equivalent).
Competencies
Strong technical regulatory expertise with commercial awareness; excellent stakeholder management; high integrity and sound, defensible judgement; able to operate autonomously at a senior level.