We are a multi‑award‑winning investment firm specialising in structured products and brokerage services. We are looking for a motivated Senior Compliance Officer to join our growing team, offering an excellent opportunity to develop within a dynamic and regulated environment.
Responsibilities
* Managing the Compliance inbox, ensuring queries are prioritised and directed to the appropriate individuals within agreed timeframes
* Developing and implementing anti‑bribery and corruption (ABC) compliance programmes and policies
* Conducting risk‑wide assessments and providing actionable recommendations to mitigate compliance risks
* Assisting with conflicts of interest processes (e.g. gifts and hospitality, personal account dealing, outside business interests) in line with internal procedures and direction of the line manager
* Maintaining the regulatory change log, including compliance monitoring programme and reviewing updates from the Financial Conduct Authority and other relevant bodies
* Assisting with KYC and onboarding for individuals and market counterparties for bond trading
* Responding to business queries on compliance‑related matters
* Contributing to ad‑hoc tasks and projects as required
* Collaborating with the wider group and other teams such as sales, operations, marketing and IT
* Regulatory surveillance & reporting: monitoring trade reporting for EMTNs and other instruments (MiFIR/EMIR), maintaining the Approved Person's register, and conducting disclosure of interest monitoring (short selling, major shareholdings)
* Control Room activities: managing conflicts of interest, handling inside information, and overseeing information barriers (“Chinese walls”) regarding corporate finance deals and new issuances
* Advisory & policy: providing guidance to trading desks and origination teams on compliance matters and developing internal policies to address regulatory updates
* Audit & investigation: supporting regulatory examinations, conducting surveillance reviews, and performing forensic investigations into potential breaches
Qualifications & Experience
* Bachelor’s degree with an outstanding academic record from a reputable university
* 3–7+ years in compliance within financial services, with specific experience in capital markets or asset management preferred
* Strong understanding of regulatory frameworks such as MiFID II, MAR, IFPR, and FCA rules
* Strong analytical abilities, attention to detail, and communication skills for interacting with traders and regulators
Additional Desired Skills
* Strong attention to detail and excellent organisational skills
* The ability to work accurately and efficiently under tight deadlines
* A collaborative approach, with the ability to work both independently and as part of a team
* Strong written and verbal communication skills
* A proactive attitude and willingness to learn
Benefits
* Competitive salary and comprehensive benefits package
* Flexible and hybrid working arrangements
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