At a Glance
- Tasks: Advise on global regulatory frameworks and strengthen compliance systems for a leading brokerage.
- Company: Join a top institutional investments brokerage in the heart of London.
- Benefits: Competitive salary, mentorship opportunities, and a dynamic work environment.
- Other info: Opportunity to mentor junior staff and grow your career in a supportive team.
- Why this job: Make a real impact in regulatory compliance while working with senior leadership.
- Qualifications: 5-10 years in financial services regulation and strong knowledge of UK/EU frameworks.
The predicted salary is between 80000 - 90000 € per year.
Rev & Regs are recruiting for a Regulatory Counsel / Senior Compliance Officer position working for a leading institutional investments brokerage in London.
Role Overview
A key role supporting the legal and regulatory framework of a growing institutional multi-asset brokerage. You will advise on global regulatory requirements, strengthen compliance systems, and partner with senior leadership to support strategic growth across multiple jurisdictions.
Key Responsibilities
- Regulatory Compliance
- Provide advice on UK and global regulatory frameworks (e.g. FSMA, MiFID II, EMIR, FCA rules).
- Monitor regulatory developments and assess business impact.
- Support implementation of compliance frameworks, including AML/CTF, market abuse, best execution, and conflicts of interest.
- Advise on cross-border regulatory requirements across UK, EU, APAC, and Middle East.
- Legal
- Draft, review, and negotiate institutional and commercial agreements (e.g. ISDA, prime brokerage, client terms).
- Support legal disputes and liaise with external counsel.
- Ensure legal documentation aligns with regulatory requirements and business objectives.
- Governance
- Support corporate governance activities, including board processes and regulatory filings.
- Contribute to risk management and internal control frameworks.
- Work cross-functionally with compliance, risk, and trading teams.
- Team Leadership
- Mentor and support junior compliance staff.
- Provide oversight on client onboarding processes (AML/KYC).
- Act as a subject matter expert within the compliance team.
Skills & Experience
- Essential Experience
- 5–10 years in financial services regulation, compliance, or financial markets law.
- Strong knowledge of UK/EU regulatory frameworks (FSMA, MiFID II/MiFIR, EMIR, MAR, FCA Handbook).
- Experience working with global regulators (e.g. FCA, ESMA, ASIC, HK SFC).
- Proven experience drafting and negotiating institutional agreements.
- Hands-on experience with compliance monitoring (AML, market abuse, best execution).
- Experience in corporate governance and regulatory reporting.
- Prior experience managing or mentoring junior staff.
- Technical Knowledge
- Understanding of institutional trading (FX, CFDs, equities, commodities).
- Knowledge of risk management and regulatory compliance frameworks.
- Familiarity with AML/KYC, onboarding, and sanctions processes.
- Strong legal drafting and analytical skills.
Salary: £80,000-£90,000 pa
Location: City of London, 5 days a week office.
Regulatory Counsel / Senior Compliance Officer in London employer: Rev & Regs
As a leading institutional investments brokerage in the heart of London, we pride ourselves on fostering a dynamic work culture that prioritises compliance excellence and employee development. Our team enjoys competitive salaries, comprehensive benefits, and the opportunity to work alongside industry experts while contributing to strategic growth across multiple jurisdictions. Join us to be part of a collaborative environment where your expertise will shape the future of regulatory compliance in financial services.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Counsel / Senior Compliance Officer in London
✨Tip Number 1
Network like a pro! Get out there and connect with folks in the financial services sector. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK and global regulatory frameworks. Be ready to discuss how you’ve navigated compliance challenges in the past. Show them you’re not just familiar with the rules, but that you can apply them effectively in real-world scenarios.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation for the opportunity. It’s a great way to keep your name fresh in their minds and show your enthusiasm for the role.
✨Tip Number 4
Check out our website for the latest job openings! We regularly update our listings, and applying directly through us can give you a better chance of landing that dream role. Plus, we’re always here to help you navigate the application process!
We think you need these skills to ace Regulatory Counsel / Senior Compliance Officer in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Regulatory Counsel / Senior Compliance Officer role. Highlight your experience with UK and global regulatory frameworks, and don’t forget to mention any specific compliance systems you've worked on. We want to see how your background aligns with what we’re looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. Talk about your experience in financial services regulation and how you can contribute to our compliance efforts. Remember, we love a good story that showcases your skills and passion!
Showcase Your Legal Expertise:Since this role involves drafting and negotiating agreements, make sure to highlight your legal drafting skills in your application. Mention any relevant agreements you've worked on, like ISDA or prime brokerage contracts. We want to see that you’ve got the chops to handle the legal side of things!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Rev & Regs
✨Know Your Regulations
Make sure you brush up on the key regulatory frameworks mentioned in the job description, like FSMA, MiFID II, and EMIR. Being able to discuss these confidently will show that you're not just familiar with the regulations but can also apply them in a practical context.
✨Showcase Your Legal Skills
Prepare examples of your experience in drafting and negotiating institutional agreements. Be ready to discuss specific cases where your legal expertise made a difference, especially in compliance monitoring or corporate governance.
✨Demonstrate Cross-Functional Collaboration
Highlight your experience working with different teams, such as compliance, risk, and trading. Share stories that illustrate how you've successfully partnered with senior leadership or mentored junior staff, as this role involves a lot of teamwork.
✨Stay Updated on Regulatory Developments
Keep an eye on recent changes in the regulatory landscape, especially those affecting financial services. Being able to discuss current events and their potential impact on the business will demonstrate your proactive approach and commitment to the role.
