Compliance Supervisor - 9 months FTC

Overview

Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets, focusing on innovation, human connection, and providing world‑class products and services to all types of investors.

Job Purpose

To support the continuing development of this highly successful business. Reporting directly to the Director of Central Compliance, this role provides support across all areas of Central Compliance, including trade surveillance, communications surveillance, policies, training, Control Room, Employee Compliance, Exchange Enquiries & Entity Servicing. The aim of the role is to help establish and roll out the function to improve the firm’s overall Compliance programme. Responsibilities include project work, ensuring synergies between different legal entities, efficiencies in processes, vendor interactions, risk mapping, creating appropriate documentation and other tasks relevant to achieving the function’s aims.

Responsibilities

• Help prepare meetings, agendas and minutes for Central Compliance functions.
• Assist in relationship management with vendors.
• Prepare and manage governance documentation, including management information, procedures, terms of reference, to ensure they are up to date, agreed and fit for purpose.
• Collate and organise training schedules and tracking.
• Map and coordinate policies across legal entities, ensuring consistent standards; draft and edit policies.
• Establish controls around inside information, including wall crossing, deal logging and restriction strategy.
• Coordinate the employee compliance programme, including controls around personal account dealing, outside business interests and conflicts of interest, ensuring a consistent approach and centralised documentation through one vendor system.
• Coordinate the global trade and communications surveillance programme, ensuring consistent standards are applied and risks mitigated.
• Provide support to global colleagues on all aspects within Central Compliance.

Qualifications

Knowledge and Experience

• Minimum five years of relevant experience.
• Familiarity with financial services regulations.
• Demonstrated ability working with people on challenging issues.
• Strong organisation skills and attention to detail.
• Demonstrated proficiency using Microsoft Office; experience with AI functionality preferred.
• Ability to manage multiple tasks and adapt to changing priorities in a fast‑paced environment.
• Skilled in researching, interpreting and disseminating information on compliance regulations and laws.
• Ability to work independently.

Essential

• Fluency in business English.

Preferred

• University degree or professional compliance qualification.

Skills

• Deliver projects/tasks on time with expected quality and substance.
• Work accurately, thoroughly, reliably and with attention to detail.
• Build relationships with key stakeholders and front‑office desks.
• Communicate at all levels of the firm and contribute to the wider operation of the Compliance Department.
• Strong analytical abilities, able to conduct forensic reviews and commercial awareness.
• Team player.
• Prioritise multiple tasks and work independently.
• Computer competency, including Microsoft Outlook, Word and Excel.

Working environment

• Hybrid
• Fixed‑term contract, 9 months.