I am looking for a compliance officer to support market-making activities across multiple asset classes, with a focus on surveillance, advisory, and control room functions. Ideal candidates will have at least 5 years’ experience in electronic trading compliance and strong knowledge of UK/EU trading venue rules and regulations.
Responsibilities
Provide real-time compliance and regulatory advice to trading desks and support functions
Oversee daily trading activities and conduct trade and communications surveillance, escalating potential issues as required
Interpret and implement regulatory developments, assisting with policy updates and compliance monitoring reviews
Support regulatory requests, audits, and the preparation of filings to regulators (e.g., AFM, FCA, AMF)
Handle transaction/position reporting (MiFIR, EMIR, CPR) and assist with KYC requests
Contribute to compliance training and awareness initiatives across the business
Requirements
Strong experience in financial markets compliance, ideally within trading firms or investment banks
Knowledge of UK/EU trading venue rules
Strong understanding of UK/EU financial regulations, including MiFID, MAR, MiFIR, EMIR, CPR, etc.
Familiarity with the FCA SMCR
This is a Mid-Senior level position, with a Full-time employment type, in the Consulting job function, within the Capital Markets, Financial Services, and Investment Banking industries.
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