At a Glance
- Tasks: Lead compliance initiatives and ensure adherence to UK/EU regulations in a dynamic trading environment.
- Company: Join a global quantitative trading firm with a focus on innovation and integrity.
- Benefits: Competitive salary, professional development, and a chance to influence regulatory decision-making.
- Other info: 12-month fixed-term role with opportunities for growth and collaboration across teams.
- Why this job: Make a real impact on compliance and operational integrity in the fast-paced financial markets.
- Qualifications: 5+ years in financial markets compliance with strong knowledge of UK/EU regulations.
The predicted salary is between 36000 - 60000 € per year.
Join a global quantitative trading firm as Compliance Officer, where you\'ll lead the development and execution of compliance initiatives, working closely with trading, legal, and operational teams to ensure adherence to UK/EU regulatory requirements and reporting obligations.
You\'ll be at the heart of regulatory decision-making, liaising with internal stakeholders to manage filings, surveillance, and policy development, while tracking regulatory change and advising on its implications. Your insights will directly influence operational integrity and support the firm\'s continued growth across European markets.
Please note that this is a 12-month fixed-term role.
Key responsibilities
- Provide proactive compliance advice to trading teams and review new product requests
- Develop and maintain compliance policies and procedures tailored to evolving business
- Monitor regulatory developments and communicate risks and opportunities to relevant stakeholders
- Assist in maintaining Broker Dealer compliance programs and regulatory reporting processes
- Prepare and deliver training sessions for personnel
- Respond to regulatory inquiries and exam requests
- Review escalated alerts from the firm\'s central surveillance function
- Lead strategic compliance initiatives and collaborate across departments on implementation
Key requirements
- Minimum 5 years of experience in financial markets compliance, ideally within trading or investment firms
- Strong understanding of UK/EU financial regulations, including:
- MiFID (particularly RTS 6) and MAR
- Transaction and position reporting frameworks (MiFIR, EMIR, CPR)
- FCA Senior Managers & Certification Regime
- Familiarity with UK/EU trading venue rules and regulatory change tracking
- Experience completing KYC requests and managing regulatory filings (e.g. AFM, FCA, AMF)
- Working knowledge of trade surveillance systems and alert review processes
- Ability to interpret and apply new regulatory requirements to business operations
- Excellent analytical skills with attention to detail, especially when reviewing large volumes of trade/order data
- Strong communication skills and ability to collaborate across legal, trading, and operational teams
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Compliance Officer (12-month FTC) in City of London employer: Selby Jennings
As a leading global quantitative trading firm, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our Compliance Officer role offers the unique opportunity to engage directly with key stakeholders across trading, legal, and operational teams, ensuring compliance with UK/EU regulations while contributing to the firm's strategic initiatives. With a commitment to professional development and a collaborative environment, we empower our employees to make impactful decisions that drive our success in European markets.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer (12-month FTC) in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial markets and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK/EU regulations. Be ready to discuss how you've navigated compliance challenges in the past and how you can bring that experience to the table.
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've tackled complex compliance issues or improved processes in previous roles. This will demonstrate your value to potential employers.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Officer (12-month FTC) in City of London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the specific skills and experiences that match the Compliance Officer role. Highlight your experience in financial markets compliance and any relevant regulatory knowledge to catch our eye!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background aligns with our needs. Don’t forget to mention your understanding of UK/EU regulations!
Showcase Your Analytical Skills:Since this role requires excellent analytical skills, consider including examples of how you've tackled complex compliance issues in the past. We love seeing how you’ve made an impact in previous roles!
Apply Through Our Website:We encourage you to apply directly through our website for the best chance of getting noticed. It’s the easiest way for us to keep track of your application and ensure it reaches the right people!
How to prepare for a job interview at Selby Jennings
✨Know Your Regulations
Make sure you brush up on UK/EU financial regulations, especially MiFID and MAR. Being able to discuss these in detail will show that you’re not just familiar with the rules but can also apply them practically in a trading environment.
✨Showcase Your Experience
Prepare specific examples from your past roles where you successfully navigated compliance challenges. Highlight your experience with KYC requests and regulatory filings, as this will demonstrate your hands-on knowledge and problem-solving skills.
✨Communicate Clearly
Since you'll be liaising with various teams, practice articulating complex compliance concepts in simple terms. This will help you convey your insights effectively and show that you can bridge the gap between compliance and operational teams.
✨Stay Updated on Regulatory Changes
Be ready to discuss recent regulatory developments and their implications for the firm. Showing that you actively track changes and understand their impact will position you as a proactive candidate who can contribute to strategic compliance initiatives.
