At a Glance
- Tasks: Provide compliance support and advice on trading strategies and market conduct.
- Company: Dynamic financial firm focused on maintaining market integrity.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Fast-paced environment with opportunities for growth and collaboration.
- Why this job: Join a team that shapes trading compliance and impacts market practices.
- Qualifications: 5+ years in Trading Compliance with strong knowledge of MiFID II/MAR.
The predicted salary is between 70000 - 90000 £ per year.
Trading Compliance ensures the firm's trading activity is effectively supported through close engagement with the front office, the delivery of timely and informed regulatory advice, and the maintenance of high standards of market integrity. This role sits within the Trading Compliance team and works in close partnership with trading desks and business management. The successful candidate will develop a deep understanding of the firm's strategies, products, algos, and market structure in order to provide practical, commercially aware compliance guidance. The role combines real-time advisory support with oversight of market conduct and trading risks, and partners closely with Regulatory Compliance to ensure consistent interpretation of regulatory requirements across the firm.
Key Responsibilities
- Develop and maintain an in-depth understanding of the firm's trading strategies, algorithms, products, and market microstructure to provide risk-based compliance support.
- Act as a trusted day-to-day compliance contact for Trading, providing clear, practical advice on regulatory and conduct matters.
- Support new trading strategy initiatives and changes to existing activity to ensure alignment with applicable regulatory requirements.
- Advise on market conduct matters, including the delivery of targeted training where appropriate.
- Contribute to the ongoing enhancement of the firm's trading conduct and market abuse controls, including oversight and escalation of relevant issues.
- Work closely with Regulatory Compliance to ensure consistent interpretation of regulatory requirements and coordinated issue management.
What we're looking for
Experience & Skills
- At least 5 years' experience in a Trading Compliance role or similar advisory role.
- Strong working knowledge of MiFID II / MAR.
- Comfortable engaging directly with traders and desk heads in a fast-paced environment.
Desirable
- Experience across fixed income/derivatives/equity markets.
- Experience with trade surveillance/market abuse controls.
- Experience operating under FCA and/or CBI supervision.
- Relevant compliance qualification.
Key Attributes
- Clear and confident communicator, comfortable in a trading environment.
- Commercially aware, with strong judgement and the confidence to make decisions while recognising when to.
- Collaborative team player who builds effective relationships across Trading and Compliance.
- Self-sufficient and organised, able to manage competing priorities.
- Adaptable and responsive to evolving business and market conditions.
Trading Compliance Advisory employer: Job Search Place Limited
As a leading firm in the financial sector, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our Trading Compliance Advisory team offers a unique opportunity to engage directly with trading desks in a fast-paced environment, providing meaningful compliance guidance while ensuring market integrity. With a commitment to professional development and a supportive atmosphere, we empower our employees to thrive and make impactful contributions to our business.
StudySmarter Expert Advice🤫
We think this is how you could land Trading Compliance Advisory
✨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 Job Search Place Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Trading Compliance Advisory
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 Job Search Place Limited. 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 Job Search Place Limited
✨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 Job Search Place Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
