At a Glance
- Tasks: Provide regulatory advice and oversight in a dynamic financial environment.
- Company: Join Rothschild & Co, a prestigious global financial services group with a rich history.
- Benefits: Enjoy a supportive culture, competitive salary, and opportunities for professional growth.
- Other info: Be part of a diverse team that values different perspectives and fosters career progression.
- Why this job: Make a meaningful impact by ensuring compliance and managing conduct risk in equities.
- Qualifications: Significant compliance experience in FCA-regulated equities and strong knowledge of relevant regulations.
The predicted salary is between 63000 - 77000 £ per year.
About Us
Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.
Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued.
We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Role
Senior second-line Compliance Officer providing regulatory advisory and oversight across the Equities business — covering both execution (sales & trading) and research.
Partners with the front office and senior management to manage conduct risk and meet FCA and SMCR obligations.
Key responsibilities
- Advise execution desks on market abuse (MAR), best execution, order handling, inducements, and Mi FID II transaction reporting; oversee trade and communications surveillance.
- Advise the research function on independence, conflicts, inducements, and distribution/disclosure controls.
- Manage conflicts of interest, information barriers, wall-crossing, and control of inside information.
- Support the SMCR framework (Statements of Responsibilities, certification, fitness & propriety, conduct rules) and contribute to governance committees and reporting.
- Maintain compliance policies.
- contribute to risk assessment and monitoring plan.
- Manage regulatory interactions, assess regulatory change, and support client classification and financial promotions approval.
- Candidate profile
Essential
- Significant compliance experience in an FCA-regulated equities business, covering both execution and research .
- Strong knowledge of the FCA Handbook, Mi FID II/Mi FIR, and MAR.
- Demonstrable experience supporting SMCR and governance arrangements.
- Track record advising and influencing senior front-office stakeholders.
Desirable
- Experience with surveillance, conflicts, and information barriers.
- Relevant qualification (ICA / CISI Diploma or equivalent).
- Competencies
Strong technical regulatory expertise with commercial awareness; excellent stakeholder management; high integrity and sound, defensible judgement; able to operate autonomously at a senior level.
Compliance Advisor in London employer: Rothschild & Co
Join a dynamic and supportive team as an HR Benefits Administrator, where your contributions will directly enhance employee wellbeing and engagement. Our company fosters a collaborative work culture that prioritises professional growth, offering ample opportunities for career advancement in the HR field. Located in a vibrant area, we provide a competitive benefits package and a commitment to maintaining a healthy work-life balance, making us an exceptional employer for those seeking meaningful and rewarding employment.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Advisor in London
✨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 Rothschild & Co looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Advisor in London
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 Rothschild & Co. 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 Rothschild & Co
✨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 Rothschild & Co’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
