Compliance Advisor

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.