Senior Compliance Advisory Officer

Senior Compliance Advisory Officer, London

Client:

Location:

London, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Reference:

0294c8f24660

Job Views:

8

Posted:

25.08.2025

Expiry Date:

09.10.2025

Job Description:

Responsibilities

• Partner with the Head of Compliance and wider teams on strategic growth projects , including new business lines, geographic expansion, and digital transformation.
• Deliver real-time advisory support to front-office teams across Investment Banking, Sales & Trading, and Research.
• Interpret and apply regulations such as MAR, MiFID II, FCA Handbook, SEC rules to key business activities like deal structuring and trade execution.
• Develop and maintain compliance strategies aligned with evolving regulatory expectations.
• Design and implement monitoring and testing plans to evaluate and improve control effectiveness.
• Lead regulatory risk assessments and collaborate with Legal, Risk, Finance, and business teams to ensure robust controls.
• Contribute to regulatory horizon scanning and strategic planning.
• Deliver training on conduct risk, regulatory requirements, and compliance obligations .
• Present findings to senior leadership and committees.
• Interface with regulators, auditors, and internal assurance teams as needed.

What We\’re Looking For

• 15+ years of experience in compliance advisory roles, with expertise in Investment Banking and Sales & Trading (Asset/Portfolio Management experience a plus).
• Proven ability to develop and maintain robust monitoring programs.
• Deep knowledge of UK, EU, and global regulations such as MAR, MiFID II, DTR, SSR .
• Strong track record in supporting strategic business initiatives and regulatory change .
• Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.

Additional Information

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Created on 25/08/2025 by TN United Kingdom

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