Senior Markets Compliance Advisor
United Kingdom
Senior Markets Compliance Officer
Senior second-line Compliance Officer providing trusted regulatory advice, challenge and oversight across the Markets business. Acts as a key partner to front-office management and senior leadership, supporting the firm's strategic objectives while ensuring compliance with regulatory requirements, market standards and conduct risk expectations. Responsible for promoting a strong compliance culture and providing robust, commercially focused regulatory guidance across the business.
Key Responsibilities
- Provide expert regulatory advice to the Markets business on FCA requirements, MiFID II/MiFIR, Market Abuse Regulation (MAR), Conduct of Business rules, client categorisation, best execution, order handling, inducements and conflicts of interest.
- Advise on complex transactions, new business initiatives, products and strategic projects, assessing regulatory implications and identifying practical solutions.
- Act as the primary Compliance contact for exchange and trading venue rules, market structure developments and related regulatory obligations.
- Maintain and enhance compliance policies, procedures and frameworks to reflect regulatory developments and evolving business activities.
- Lead compliance risk assessments and thematic reviews as relevant to the Markets business
- Contributing to the development and execution of the Compliance Monitoring Programme.
- Assess and implement regulatory change, ensuring the business remains compliant with evolving FCA, exchange and market requirements.
- Manage and support regulatory interactions, enquiries and thematic reviews, including engagement with the FCA and relevant exchanges or market authorities.
- Deliver training and awareness initiatives to promote a strong culture of compliance and accountability across the Markets business.
- Produce management information, regulatory reporting and governance materials for senior management and committees.
Candidate Profile
Essential
- Significant Compliance experience within an FCA-regulated equities, capital markets or investment banking environment.
- Strong technical knowledge of FCA regulation, MiFID II/MiFIR, MAR, COBS and market conduct requirements.
- Demonstrable experience advising Sales, Trading, Execution businesses on complex regulatory matters.
- Proven track record of influencing and challenging senior front-office stakeholders while maintaining strong commercial relationships.
- Experience supporting regulatory change initiatives and interpreting new regulatory requirements.
- Strong understanding of governance frameworks, risk management and SMCR obligations.
- Excellent written and verbal communication skills, with the ability to explain complex regulatory issues clearly and pragmatically.
Desirable
- Experience of market abuse surveillance, trade surveillance and electronic communications monitoring.
- Familiarity with exchange rules and trading venue requirements.
- Experience managing FCA interactions, regulatory reviews or enforcement-related enquiries.
- ICA Diploma, CISI Diploma, Law Degree or equivalent professional qualification.
Competencies
- Exceptional regulatory and technical expertise.
- Strong commercial judgement and pragmatic problem-solving skills.
- Credibility and confidence when engaging with senior management and front-office stakeholders.
- High level of integrity, independence and professional scepticism.
- Sound risk-based decision making and defensible judgement.
- Strong organisational and prioritisation skills, with the ability to manage competing demands.
- Collaborative approach with the ability to influence outcomes without direct authority.
- Ability to work autonomously in a fast-paced and evolving markets environment.