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- Tasks: Oversee compliance operations and ensure adherence to global regulatory requirements.
- Company: Leading global quantitative trading firm with a strong international presence.
- Benefits: Competitive salary, dynamic work environment, and opportunities for professional growth.
- Why this job: Join a fast-paced team and make a real impact in the trading world.
- Qualifications: 7+ years of compliance experience and strong knowledge of regulatory frameworks.
- Other info: Collaborate with top professionals in a highly automated trading environment.
The predicted salary is between 60000 - 84000 £ per year.
A leading global quantitative trading firm is seeking a proactive and technically minded Compliance Officer to join its growing London office. The firm operates systematic and high-frequency strategies across asset classes and global markets, with a strong and expanding footprint across EMEA, the U.S., and APAC. This is a hands-on, front-office–facing role offering broad exposure across regulatory compliance, trading surveillance, and global market access controls. The successful candidate will work closely with portfolio managers, quantitative researchers, and senior leadership, supporting the firm’s continued international growth.
What You’ll Do
- Oversee day-to-day compliance operations across FCA obligations and global regulatory requirements, including adviser and trading compliance.
- Support compliance coverage for APAC trading activities, coordinating with regional stakeholders to ensure adherence to local exchange and regulatory rules.
- Maintain and monitor trade surveillance across electronic and systematic strategies, including market abuse, best execution, and personal account dealing.
- Support the implementation and ongoing oversight of SEC Rule 15c3-5 (Market Access Rule), including pre-trade risk controls, credit limits, and order-level validations.
- Assist with regulatory filings and reporting across multiple jurisdictions (FCA, ESMA, SEC, and relevant APAC regulators).
- Partner closely with trading, technology, and operations teams to embed compliance controls into automated trading workflows.
- Draft, maintain, and enhance global policies and procedures, ensuring alignment with evolving regulations such as MiFID II, MAR, AIFMD, SMCR, and U.S. market-access requirements.
What They’re Looking For
- 7+ years of compliance experience within a quantitative trading firm, hedge fund, proprietary trading firm, or electronic trading environment.
- Strong knowledge of UK and EU regulatory frameworks (FCA Handbook, MiFID II, MAR, AIFMD, SMCR).
- Familiarity with U.S. market-access and trading regulations, including SEC Rule 15c3-5.
- Exposure to APAC markets and exchanges is highly desirable.
- Comfortable working closely with front-office, quant, and technology teams in a fast-paced, highly automated trading environment.
- Detail-oriented, solutions-driven mindset with strong communication skills and sound regulatory judgment.
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Accounting/Auditing
Industries: Investment Management
Senior Compliance Manager employer: Alexander Chapman
Contact Detail:
Alexander Chapman Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and trading sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK and EU regulatory frameworks. Be ready to discuss how your experience aligns with the firm’s needs, especially around FCA obligations and market access rules. Show them you’re the perfect fit!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and expertise. Use our website to find roles that excite you and match your skills. Tailor your approach to each company to stand out from the crowd!
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share any additional insights or thoughts you have about the role to reinforce your interest and enthusiasm.
We think you need these skills to ace Senior Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Manager role. Highlight your compliance experience, especially in quantitative trading firms, and showcase your knowledge of UK and EU regulatory frameworks. We want to see how your background aligns with what we’re looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance in the trading sector and how your skills can contribute to our team. Be sure to mention any specific experiences that relate to the responsibilities outlined in the job description.
Showcase Your Communication Skills: As a Compliance Officer, strong communication skills are key. In your application, demonstrate how you've effectively communicated complex regulatory requirements to various stakeholders. We love seeing examples of how you’ve partnered with teams to embed compliance controls!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Alexander Chapman
✨Know Your Regulations
Make sure you brush up on the UK and EU regulatory frameworks, especially the FCA Handbook, MiFID II, and MAR. Being able to discuss these in detail will show that you're not just familiar with compliance but that you truly understand the landscape you'll be working in.
✨Showcase Your Experience
With 7+ years of compliance experience, it's crucial to highlight specific examples from your past roles. Talk about how you've handled compliance operations or worked with trading teams, and be ready to discuss any challenges you faced and how you overcame them.
✨Communicate Clearly
Strong communication skills are key in this role. Practice articulating complex compliance concepts in a straightforward manner. You might be asked to explain how you would embed compliance controls into automated trading workflows, so clarity is essential.
✨Be Solutions-Driven
Demonstrate your detail-oriented and solutions-driven mindset by preparing to discuss how you've approached compliance issues in the past. Think of specific instances where you identified a problem and implemented a successful solution, especially in fast-paced environments.
