Regulatory Compliance Officer (FX, CFD, prime Brokerage) in City of London

We are looking for a dynamic and forward-thinking Regulatory Counsel / Senior Compliance Officer to help shape the future of our institutional multi-asset brokerage business. This is a rare opportunity to join ATFX Connect at a pivotal moment of expansion, where your expertise will directly influence the firm’s strategic direction, regulatory integrity, and global growth trajectory. Working closely with the General Counsel and senior leadership, you will build and elevate the legal and regulatory foundations that enable ATFX Connect to innovate, scale, and thrive in an increasingly complex global landscape.

If you are energised by the challenge of steering a high-performance trading business through diverse global regulatory frameworks—and want your work to make a meaningful, measurable impact—this role offers an exceptional platform to do so.

The individual will possess a sound understanding of the legal and regulatory landscape in which ATFX Connect operates, as well as a proven track record of providing effective legal and regulatory advice to a variety of stakeholders. Typical work includes providing non-contentious advice on the scope of the UK, EU, Australia, Hong Kong, UAE and other global regulatory perimeters; the application of FSMA, EMIR, MiFID 2, MiCA, and other applicable financial legislation, rules and regulation, as well as the FCA Handbook and other applicable regulators’ rules and principles (including HK SFC, ASIC and ESMA).

The individual is responsible for:

• Regulatory Compliance

• Stay abreast of legislative changes and industry trends, advising the executive team on potential impacts.
• Assisting the Head of Legal and Compliance and working with the rest of the Legal and Compliance team to ensure the effective implementation of and compliance with all relevant laws, regulations, and industry standards across ATFX Connect.
• Advise on legal and regulatory matters related to ATFX Connect entities, jurisdictions, and products and services, including the UK FCA, ESMA, CySEC, ASIC, HK SFC requirements, and relating to FSMA, MiFID and MiFIR regulations, EMIR, etc.
• Working with the rest of the Compliance team in implementing and ensuring the effectiveness of the firm’s Compliance Monitoring Framework, including the firm’s controls relating to AML/CTF, CDD, market abuse and surveillance, best execution, conflicts of interest etc.

• Assisting the Head of Legal and Compliance with any legal disputes or litigation involving the company.
• Collaborate with external legal counsel as needed and represent the company's interests effectively as and when required.
• Review, draft, and negotiate a variety of contracts, agreements, and legal documents.
• Ensure that contracts align with business objectives and comply with applicable laws and regulations.
• Draft, review, and negotiate institutional agreements, client Terms of Business, ISDA documentation, prime brokerage contracts, and liquidity provider arrangements.

• Oversee corporate governance matters, including board meetings, corporate filings, and governance policies.
• Collaborate with internal stakeholders to maintain and enhance corporate governance practices.
• Collaborate with risk, compliance, and trading teams to implement and ensure the effectiveness of the ATFX Connect’s risk management framework.

• Line management of junior staff of the team and act as the team lead for members of the Compliance team in subject matter expert areas.
• Providing guidance and oversight to junior members of the Compliance team in the onboarding processes of clients, ensuring AML/KYC compliance and adherence to regulatory frameworks.

Required Skills and Experience

Essential Experience

• 5–10+ years’ experience in financial services regulation, compliance, or financial markets law, ideally within a brokerage, investment firm, institutional trading venue, or multi-asset trading business.
• Strong background advising on the UK and EU regulatory frameworks, including FSMA, MiFID II/MiFIR, EMIR, MAR, and FCA Handbook requirements.
• Demonstrated experience engaging with global regulators, such as the FCA, ESMA, CySEC, ASIC, and the HK SFC.
• Experience advising on cross-border regulatory perimeters, including UK/EU, Australia, Hong Kong, UAE, and other relevant jurisdictions.
• Proven track record in drafting, reviewing, and negotiating institutional agreements.
• Hands-on experience supporting or managing aspects of a Compliance Monitoring Programme, including AML/CTF, market abuse monitoring, best execution, and conflicts of interest controls.
• Prior involvement in corporate governance, including Board support, policy maintenance, and regulatory reporting.
• Experience managing or mentoring junior team members and providing subject-matter expertise within a Compliance function.

Technical Knowledge

• Deep understanding of financial markets and trading infrastructures, especially institutional FX, CFDs, equities, commodities, and prime brokerage.
• Regulatory obligations for investment firms, including prudential topics (IFPR/MIFIDPRU beneficial but not mandatory).
• Risk management concepts, including governance, operational risk, market conduct, and regulatory risk.
• AML/KYC/CTF frameworks, global onboarding standards, and sanctions screening processes.
• Strong legal drafting and analytical skills, with the ability to translate complex regulation into clear, practical guidance.
• Working knowledge of contract negotiation, including derivatives documentation and institutional trading agreements.

Experience & Capabilities

Qualifications: The ideal candidate will have completed a law degree (LLB or GDL), with at least 1 years’ experience working in a compliance, Anti-Money Laundering and/or legal capacity in financial services/capital markets. Exceptional graduates with strong academics in Law, Economics or Finance will also be considered and are encouraged to apply.

Skills and knowledge: Sound understanding of UK and EU financial services regulation, including EMIR and MiFID 2, as well as understanding of the UK and international financial crime regulatory frameworks. Ability to demonstrate commercial awareness. Excellent written communication and drafting skills. Business proficiency in an additional language (Spanish, Portuguese, Italian, French) preferred but not a requisite. Self-confident, proactive, pragmatic approach to tasks and projects. Highly enthusiastic and self-motivated and a genuine interest in financial regulation. The ability to work in a team and to interact and build relationships with people at all levels.

We offer an exciting career opportunity and competitive remuneration to the successful candidate. Please send us your detailed resume with current and expected salary by clicking “Apply Now”. All information provided will be treated in strict confidence and used solely for recruitment purposes.