Compliance Advisory Manager required for a leading financial services business, supporting its institutional and professional client trading business.
This is a hands-on advisory role, working closely with trading desks and wider business stakeholders to provide practical regulatory advice in a fast-paced environment.
Key responsibilities
- Provide day-to-day regulatory advice to trading and business teams.
- Advise on institutional and professional client activity, including client categorisation and conduct requirements.
- Support new products, platform developments and business change.
- Review and advise on Financial Promotions.
- Provide guidance on regulatory developments and their impact on the business.
- Work closely with Trading, Risk, Legal and Operations.
What we're looking for
- Strong Compliance Advisory experience within a trading environment.
- Good knowledge of COBS, CASS, MAR, MiFID II and EMIR.
- Experience supporting institutional, professional client, Prime or DMA-related business.
- Strong understanding of trading and investment products.
- Comfortable working directly with trading desks and advising on real-time issues.
- Commercial, pragmatic and able to operate at pace.
London - 3 days per week in the office.
Compliance Advisory Manager in London employer: Care First UK Recruitment Solutions
Join a dynamic and supportive team at a leading international freight forwarding and logistics provider in Felixstowe, where your expertise as an Ocean Freight Specialist will be valued. Enjoy a competitive salary, a bonus scheme, generous holiday allowance, and a workplace pension, all while working in a culture that prioritises employee growth and exceptional customer service. This role offers the chance to build lasting relationships and contribute to continuous improvement within a thriving company.
Contact Details:
Care First UK Recruitment Solutions Recruitment Team
