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- Tasks: Lead compliance advisory for electronic trading and AI technologies in a global investment bank.
- Company: Join a top-tier investment bank known for innovation and excellence in financial services.
- Benefits: Enjoy competitive salary, flexible working options, and opportunities for professional growth.
- Why this job: Be at the forefront of regulatory compliance in cutting-edge AI trading technologies.
- Qualifications: Must have extensive experience in compliance within investment banking and strong knowledge of trading regulations.
- Other info: This role offers a chance to shape the future of trading compliance in a dynamic environment.
The predicted salary is between 72000 - 108000 £ per year.
A leading global investment bank is seeking a senior-level Director of Compliance Advisory to join its dynamic London-based team. This is a high-impact role within the Compliance function, focused on advising the Electronic Trading business and guiding the firm through the evolving regulatory landscape surrounding AI-driven trading technologies.
Role Overview:
As Director, you will act as a strategic advisor to front office trading and technology stakeholders, ensuring that the firm’s electronic trading platforms and AI-enabled tools comply with relevant UK, EU, and global regulations. You will provide subject matter expertise on algorithmic trading, market abuse, best execution, and data governance in relation to AI models and automated decision-making.
Key Responsibilities:
- Provide real-time advisory to trading desks on compliance risks related to electronic and algorithmic trading.
- Advise on the development and deployment of AI and machine learning tools within trading, ensuring regulatory alignment.
- Interpret and communicate regulatory expectations across global jurisdictions, including FCA, ESMA, and SEC.
- Collaborate with Technology, Legal, Risk, and Surveillance to ensure proper controls, documentation, and oversight.
- Contribute to regulatory engagement and audit readiness, including input into responses and senior regulator meetings.
Key Requirements:
- Deep knowledge of electronic trading, algo compliance, and AI governance in a financial services context.
- Prior experience in a senior compliance advisory role within an investment bank or trading firm.
- Strong understanding of MAR, MiFID II, RTS 6, and evolving AI-related guidance.
- Excellent communication and stakeholder management skills, particularly with front office and technical teams.
Regulatory and Compliance Manager employer: Jacobson Garner
Contact Detail:
Jacobson Garner Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory and Compliance Manager
✨Tip Number 1
Network with professionals in the compliance and trading sectors. Attend industry events, webinars, or conferences where you can meet people who work in similar roles. This can help you gain insights into the latest trends and potentially lead to referrals.
✨Tip Number 2
Stay updated on the latest regulatory changes and developments in AI governance. Subscribe to relevant newsletters or follow key regulatory bodies on social media to ensure you're well-informed and can discuss these topics knowledgeably during interviews.
✨Tip Number 3
Prepare to demonstrate your expertise in algorithmic trading and compliance during networking conversations or interviews. Be ready to share specific examples of how you've navigated complex regulatory environments in your previous roles.
✨Tip Number 4
Engage with online communities or forums focused on compliance and electronic trading. Participating in discussions can help you build your reputation as a knowledgeable professional and may lead to job opportunities through connections made in these spaces.
We think you need these skills to ace Regulatory and Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Regulatory and Compliance Manager position. Familiarise yourself with key regulations like MAR, MiFID II, and the implications of AI in trading.
Tailor Your CV: Highlight your relevant experience in compliance advisory roles, particularly within investment banks or trading firms. Emphasise your knowledge of electronic trading and AI governance, ensuring your CV reflects the skills mentioned in the job description.
Craft a Compelling Cover Letter: Write a cover letter that showcases your expertise in algorithmic trading and compliance. Use specific examples from your past experience to demonstrate how you can add value to the firm's electronic trading business.
Proofread and Edit: Before submitting your application, carefully proofread your documents for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Jacobson Garner
✨Showcase Your Expertise
Make sure to highlight your deep knowledge of electronic trading and algo compliance. Be prepared to discuss specific regulations like MAR and MiFID II, and how they relate to AI governance in financial services.
✨Demonstrate Stakeholder Management Skills
Since the role involves advising front office trading and technology stakeholders, share examples of how you've successfully communicated complex regulatory concepts to non-technical teams in the past.
✨Prepare for Scenario-Based Questions
Expect questions that assess your ability to provide real-time advisory on compliance risks. Think of scenarios where you had to navigate regulatory challenges and how you approached them.
✨Research the Company’s Regulatory Landscape
Familiarise yourself with the specific regulatory environment the investment bank operates in. Understanding their approach to compliance and recent developments in AI-related guidance will show your commitment and preparedness.
