Why This Role Stands Out
This hybrid Compliance Advisory Manager role offers the chance to provide impactful regulatory guidance within a leading financial services firm, perfect for someone with strong advisory experience in trading environments who thrives on dynamic problem-solving. You'll enjoy significant opportunities for professional growth by collaborating directly with trading desks and various business stakeholders, so apply today to leverage your expertise in a challenging and rewarding position.
Quick Overview
Job Description
Compliance Advisory Manager required for a leading financial services business, supporting its institutional and professional client trading business.
This is a hands-on advisory role, working closely with trading desks and wider business stakeholders to provide practical regulatory advice in a fast-paced environment.
Key responsibilities- Provide day-to-day regulatory advice to trading and business teams.
- Advise on institutional and professional client activity, including client categorisation and conduct requirements.
- Support new products, platform developments and business change.
- Review and advise on Financial Promotions.
- Provide guidance on regulatory developments and their impact on the business.
- Work closely with Trading, Risk, Legal and Operations.
- Strong Compliance Advisory experience within a trading environment.
- Good knowledge of COBS, CASS, MAR, MiFID II and EMIR.
- Experience supporting institutional, professional client, Prime or DMA-related business.
- Strong understanding of trading and investment products.
- Comfortable working directly with trading desks and advising on real-time issues.
- Commercial, pragmatic and able to operate at pace.
London – 3 days per week in the office.
Similar jobs
- AS
Legal Administration Assistant
NewASOS
London, England🇬🇧Hybrid12 hours agoComplianceStakeholder ManagementLegal - GC
Corporate Attorney (AI Legal Evaluation)
NewGramian Consulting Group
United Kingdom🇬🇧Remote11 hours agoComplianceCorporate LawImmigration Law+2Legal - HR
Legal Secretary
NewHello Recruitment Associates
Leighton Buzzard, Bedfordshire🇬🇧Hybrid7 hours agoLegal - ER
Compliance Officer
NewElevation Recruitment Group
Rotherham, Yorkshire🇬🇧£30k/yrOn-site7 hours agoComplianceLegal - MS
Product Marketing Manager - Legal
NewMexa Solutions LTD
London🇬🇧£80 - £90/hrRemote7 hours agoLegal - RR
Legal Recruitment Assistant
NewRyder Reid Legal
london, united kingdom🇬🇧Hybrid10 hours agoComplianceMicrosoft OfficeLegal