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- Tasks: Shape the future of our brokerage by ensuring regulatory compliance and providing legal guidance.
- Company: Join ATFX Connect, a dynamic multi-asset brokerage in a pivotal expansion phase.
- Benefits: Competitive salary, career growth opportunities, and a chance to influence global strategy.
- Why this job: Make a meaningful impact in a high-performance trading environment while navigating complex regulations.
- Qualifications: 5-10 years in financial services regulation with strong knowledge of UK and EU frameworks.
- Other info: Lead a team, mentor junior staff, and collaborate with global regulators.
The predicted salary is between 48000 - 72000 ÂŁ per year.
About the Role: 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.
- Legal
- 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.
- Governance
- 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.
- Team Leadership
- 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.
Regulatory Compliance Officer (FX, CFD, prime Brokerage) employer: ATFX Connect
Contact Detail:
ATFX Connect Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Officer (FX, CFD, prime Brokerage)
✨Tip Number 1
Network like a pro! Get out there and connect with people in the industry. Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its regulatory environment. Understand their challenges and think about how your skills can help them navigate complex regulations. This shows you’re not just interested in any job, but specifically in making an impact at ATFX Connect.
✨Tip Number 3
Practice your pitch! Be ready to explain how your experience aligns with the role of Regulatory Compliance Officer. Highlight your knowledge of FSMA, MiFID II, and other relevant regulations, and how you’ve successfully navigated similar challenges in the past.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team at ATFX Connect.
We think you need these skills to ace Regulatory Compliance Officer (FX, CFD, prime Brokerage)
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Regulatory Compliance Officer role. Highlight your experience with UK and EU regulations, as well as any specific knowledge of FSMA, MiFID II, and other relevant frameworks. We want to see how your background aligns with what we're looking for!
Showcase Your Expertise: Don’t just list your qualifications—demonstrate your understanding of the regulatory landscape. Share examples of how you've navigated complex compliance issues or provided strategic advice in previous roles. This will help us see the impact you can make at ATFX Connect.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. Use clear language and avoid jargon where possible. We appreciate a well-structured application that makes it easy for us to understand your skills and experiences.
Apply Through Our Website: We encourage you to submit your application directly through our website. This ensures that your application gets to the right people quickly and efficiently. Plus, it shows us you're genuinely interested in joining our team at ATFX Connect!
How to prepare for a job interview at ATFX Connect
✨Know Your Regulations
Make sure you brush up on the key regulations mentioned in the job description, like FSMA, MiFID II, and EMIR. Being able to discuss these frameworks confidently will show that you’re not just familiar with them but can also apply them in real-world scenarios.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully navigated regulatory challenges or provided compliance advice. This will help demonstrate your hands-on experience and how it aligns with what ATFX Connect is looking for.
✨Understand the Business
Research ATFX Connect and its position in the market. Understanding their business model and how regulatory compliance plays a role in their operations will allow you to tailor your responses and show genuine interest in the company.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's approach to compliance and regulatory changes. This not only shows your enthusiasm for the role but also your proactive mindset in wanting to contribute to their strategic direction.