Job Title: Senior Compliance Advisory Manager

Location: London - Hybrid working

• Regulatory Advisory: Provide regulatory advice to the business, build strong relationships, and offer constructive challenge when needed.
• Project Management: Lead ad-hoc compliance projects, including process updates, regulatory requests, and breach reviews.
• Business Change: Provide compliance guidance on new business initiatives, product launches, and broker onboarding.
• Investigations: Investigate breaches and incidents, assess conduct issues, recommend remedial actions, and assist with regulatory responses.
• Regulatory Analysis: Monitor and assess changes in financial regulations and their impact on the firm.
• Compliance Monitoring: Help develop and enhance monitoring programs, resolve alerts, and perform deep-dive trade surveillance.

Skills:

- Experience in compliance within wholesale financial markets brokerage.

- Strong knowledge of spot markets, derivatives, and front-office operations.

- Familiarity with UK/EU market abuse, market conduct, and best execution practices.

- Preferable experience with electronic surveillance tools and industry platforms like Bloomberg or Reuters.