Compliance Advisory

Compliance Advisory VP

A leading corporate brokerage and market-making firm based in London is seeking a Compliance Advisory VP to provide expert compliance guidance across diverse markets, including FX, Credit, Rates, Equities, and Commodities. This strategic role requires a highly experienced professional with a deep understanding of regulatory compliance in financial markets, coupled with strong advisory skills to effectively support and guide business functions.

About the Role

You will play a pivotal role in ensuring the firm’s adherence to UK and international regulatory standards. You will work directly with trading desks and senior stakeholders, offering critical guidance on regulatory issues, risk mitigation, and compliance best practices to maintain and enhance the firm’s compliance framework.

Key Responsibilities

• Advisory Support: Act as a trusted compliance advisor to the business, particularly within FX, Credit, Rates, Equities, and Commodities. Address regulatory compliance inquiries and provide timely guidance on evolving regulatory topics.
• Regulatory Compliance: Oversee the implementation of regulatory requirements, ensuring compliance with UK and international standards, including MiFID II, MAR, and other relevant frameworks.
• Policy Development: Collaborate with senior management to develop and refine internal compliance policies that align with regulatory obligations and industry best practices.
• Risk Assessment: Conduct ongoing risk assessments, identifying potential compliance risks within the firm’s operations, and advising on effective controls.
• Training and Communication: Deliver targeted training and regular updates on regulatory changes, fostering a strong compliance culture across trading desks and business units.

What We Are Looking For

The ideal candidate has extensive experience in compliance advisory within financial services, with in-depth knowledge of regulatory frameworks governing FX, Credit, Rates, Equities, and Commodities. Excellent communication skills, a collaborative approach, and the ability to influence and support stakeholders at all levels are essential. A degree in Law, Finance, or a related field is preferred, along with relevant regulatory or compliance qualifications.