Compliance Advisor

2 Days Old

Job Description

Compliance Associate (Advisory)


Are you ready to elevate your career in compliance? This role offers an exceptional chance to work within a dynamic environment where your expertise will be highly valued and your professional growth supported. Our Client is a boutique brokerage/trading business who are well known for their positive and collaborative culture


This is a 9-12 month FTC contract and ideal for a Junior compliance advisory professional or a compliance Monitoring professional looking to make the move into advisory, they are looking for someone who has experience of working within an investment bank, brokerage or Trading business. Hybrid, Ideal start date mid Jan


Role Overview:

As a Compliance Associate (Advisory) within the Group Compliance function, you will play a pivotal role in ensuring that firm meets its legal and regulatory obligations. This position involves close collaboration with front desks, operations, and other members of the Compliance Department. Your contributions will be instrumental in maintaining the integrity and efficiency of the organisation's compliance framework.


Key Responsibilities:

- Provide day-to-day compliance advice and guidance to various business areas.

- Design and maintain compliance policies and procedures.

- Analyse and interpret relevant laws and regulations, identifying changes that could impact the business.

- Produce reports for senior management on advisory activities.

- Play a crucial role in group's preparations for the implementation of new regulations.

- Assist with investigating and resolving ad hoc queries from regulators and exchanges.

- Perform compliance monitoring tasks as required.

- Deliver compliance-related staff training.


Skills and Experience Required:

- 2-4 years’ experience in an advisory or Compliance Monitoring role.

- Sound knowledge of products, markets, and operational processes, particularly in commodity derivatives and FX.

- Comprehensive understanding of UK financial services regulation.

- Familiarity with EMIR and MiFIR reporting regimes.

- Ability to work calmly under pressure, both independently and as part of a team.


Qualifications:

- Educated to degree level, preferably in a legal, accounting, or business-related discipline.


Core Values:

- Act with integrity and respect.

- Build valued client relationships through opportunity, innovation, and trust.

- Commit to responsibility and accountability.

Apply
Location:
City Of London
Job Type:
FullTime
Category:
Business

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