At a Glance
- Tasks: Support compliance framework and provide regulatory advice across institutional markets.
- Company: Globally recognised financial services firm with a focus on innovation.
- Benefits: Competitive salary, career growth opportunities, and exposure to senior stakeholders.
- Other info: Dynamic role with significant impact on regulatory standards and commercial growth.
- Why this job: Join a high-growth organisation where compliance drives strategic business success.
- Qualifications: Experience in compliance within wholesale and institutional financial markets.
The predicted salary is between 80000 - 100000 £ per year.
Our client is a globally recognised financial services firm headquartered in London, providing multi-asset trading solutions to both retail and institutional clients. As part of its strategic growth plans, the business is significantly expanding its institutional offering across global markets. This includes FX, Commodities, Exchange Traded Derivatives (ETDs), CFDs and OTC products, requiring an experienced compliance professional with deep knowledge of wholesale and institutional financial markets. This is an excellent opportunity to join a high-growth organisation where compliance is viewed as a strategic business partner, supporting innovation whilst maintaining the highest regulatory standards.
We are seeking an experienced Deputy Head of Compliance to support the Head of Compliance in overseeing the firm's UK regulatory compliance framework. The successful candidate will play a key role in advising the institutional business, supporting new product initiatives, managing regulatory change and providing practical compliance guidance across wholesale trading activities. The individual will work closely with Front Office, Legal, Risk, Operations and Senior Management to ensure regulatory obligations are met while enabling commercial growth. This position offers significant exposure to senior stakeholders and provides an excellent pathway towards a future Head of Compliance appointment.
Key Responsibilities
- Regulatory Advisory
- Support the Head of Compliance in maintaining the firm's regulatory compliance framework.
- Provide day-to-day compliance advice to institutional and retail business units.
- Advise on FCA rules applicable to wholesale and retail investment firms.
- Review new products, business initiatives and strategic projects from a regulatory perspective.
- Support regulatory horizon scanning and implementation of new regulatory requirements.
- Assist with regulatory reporting and regulatory submissions.
- Institutional Markets Compliance
- Provide compliance oversight across:
- Foreign Exchange (FX)
- Commodities
- Exchange Traded Derivatives (ETDs)
- OTC Derivatives
- CFDs
- Prime Brokerage
- Institutional Client Business
- Professional Clients
- Eligible Counterparties
- Advise on regulatory requirements relating to:
- MiFID II
- UK Market Abuse Regulation
- Best Execution
- Client Categorisation
- Conflicts of Interest
- Product Governance
- Transaction Reporting
- Position Limits
- Exchange Rulebooks
- Conduct Risk
- Compliance Monitoring
- Assist in developing and executing the Compliance Monitoring Programme.
- Conduct thematic reviews and compliance testing.
- Monitor regulatory breaches and incidents.
- Produce Management Information and Compliance reports.
- Track remediation actions through to completion.
- Governance
- Prepare papers for Risk, Compliance and Board Committees.
- Maintain Compliance policies and procedures.
- Support regulatory audits and FCA engagements.
- Assist with internal and external audit reviews.
- Support regulatory inspections and information requests.
- Market Conduct
- Provide oversight of:
- Market Abuse controls
- Personal Account Dealing
- Gifts
Deputy Head of Compliance (Capital Markets) employer: ETRA Talent
ETRA Talent is an exceptional employer that fosters a dynamic work culture in the heart of London, offering employees the chance to thrive in a collaborative environment focused on compliance excellence. With a commitment to professional development, we provide ample opportunities for growth and advancement, ensuring our team members are well-equipped to navigate the complexities of financial regulations while contributing to the commercial success of our institutional markets. Join us to be part of a forward-thinking organisation that values innovation and integrity in the financial sector.
