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. What we're looking for * 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.
* 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. What we're looking for * 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.
Vacancy posted 10 days ago
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