THE COMPANY:
Our client is an entrepreneurial brokerage firm based in the West end , seeking a keen compliance professional to get involved in a broad range of duties.
THE RESPONSIBILITIES:
- Provide strategic regulatory advice to senior management on market conduct, trading venue obligations, and regulatory risk
- Act as a key contact for regulatory matters, supporting engagement with regulators and ensuring timely responses to enquiries
- Lead regulatory horizon scanning and implementation of change initiatives impacting brokerage and trading activities
- Oversee MiFID II compliance, including transaction reporting, transparency, and instrument reference data
- Support operation and governance of the firm’s OTF, including rulebook interpretation and participant guidance
- Contribute to regulatory reporting obligations (FCA RegData, Connect), ensuring accuracy and timeliness
- Implement and enhance compliance controls, policies, and monitoring frameworks
- Collaborate closely with international offices on cross-border compliance and regulatory alignment
- Lead ad hoc compliance projects, including control enhancements and regulatory remediation initiatives
- Strengthening compliance culture through proactive training enforcement
EXPERIENCE REQUIRED:
- Ideally 3 years+ experience within a financial services firm
- Regulatory compliance experience
- Candidates should enjoy working within a small business and thrive on working on a variety of different tasks
- Ideally exposure to regulatory reporting and similar reporting and metric
- Keen and commercially-minded individual
For further information please contact Natalie Eshelby
