At a Glance
- Tasks: Oversee compliance framework and provide regulatory advice for institutional trading.
- Company: Globally recognised financial services firm based in London.
- Benefits: Competitive salary, career growth, and exposure to senior stakeholders.
- Other info: Excellent pathway towards a future Head of Compliance role.
- Why this job: Join a high-growth organisation where compliance drives innovation and strategic success.
- Qualifications: 7-12+ years of compliance experience in FCA-regulated environments.
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 & Hospitality
- Conflicts of Interest
- Communications Monitoring
- Electronic Surveillance
- Trade Surveillance
- Regulatory Conduct Risk
- Regulatory Change
- Lead or support implementation of new FCA regulatory requirements.
- Participate in strategic transformation projects.
- Support international regulatory initiatives where applicable.
- Work closely with global Compliance teams to ensure consistency of standards.
- Stakeholder Management
- Develop strong working relationships with:
- Front Office
- Institutional Sales
- Trading
- Prime Services
- Operations
- Legal
- Risk
- Technology
- Senior Management
- Global Compliance
- 7–12+ years' Compliance experience within an FCA-regulated investment firm, broker, CFD provider, investment bank or commodities trading business.
- Strong experience supporting institutional or wholesale financial markets.
- Demonstrable knowledge of:
- FX
- Commodities
- Exchange Traded Derivatives (ETDs)
- OTC Derivatives
- CFDs
- Strong understanding of MiFID II and UK regulatory requirements.
- Experience providing practical compliance advice to Front Office and Trading teams.
- Previous experience delivering regulatory change projects.
- Experience dealing directly with the FCA would be advantageous.
- Knowledge of Market Abuse Regulation and market conduct surveillance.
- Strong understanding of:
- FCA Handbook
- MiFID II
- UK Market Abuse Regulation (MAR)
- EMIR
- Best Execution
- Transaction Reporting
- Product Governance
- Client Assets (desirable)
- Financial Promotions
- Consumer Duty
- Conduct Risk
- Financial Crime awareness
- Exchange Rulebooks (CME, ICE, LME, Eurex and similar)
- Degree educated or equivalent.
- ICA Diploma or Advanced Certificate (preferred).
- CISI qualifications advantageous.
- Legal or Compliance qualifications desirable.
Deputy Head of Compliance (Capital Markets) in Slough 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.
StudySmarter Expert Advice🤫
We think this is how you could land Deputy Head of Compliance (Capital Markets) in Slough
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like ETRA Talent looking for candidates who are engaged and informed.
We think you need these skills to ace Deputy Head of Compliance (Capital Markets) in Slough
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at ETRA Talent. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at ETRA Talent
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with ETRA Talent’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
