Description

Job Title:Compliance Advisory - Capital Markets

Department:Compliance

Location:[London, Hybrid]

Employment Type:Full-time

Reports To:Head of Capital Markets Compliance

Role Summary

We are seeking a highly motivated and experienced Compliance Advisory professional to support the Head of Capital Markets Compliance in ensuring the firm operates within applicable regulatory frameworks and maintains robust governance, conduct, and risk standards.

This role will focus on second-line oversight of Capital Markets activities, covering asset classes such as Equities, Rates, FX, Credit, Financial Futures & Options, and Listed Derivatives. You will provide regulatory guidance, support business initiatives, and champion a strong compliance culture.

Key Responsibilities

• • Build and maintain strong working relationships with Capital Markets business units through regular stakeholder engagement.
  • Monitor and assess regulatory developments, ensuring timely dissemination and implementation across the firm.
  • Provide clear, actionable regulatory and compliance advice in relation to business operations, policies, and exchange rules.
  • Conduct timely reviews and approvals of new business initiatives including products, jurisdictions, and systems.
  • Contribute to group-wide compliance initiatives, including policy updates, control implementations, and training delivery.
  • Collaborate with Legal, Risk, and Compliance colleagues regionally and globally on cross-jurisdictional compliance matters.
  • Support Compliance Assurance through thematic reviews and participation in risk assessments.
  • Review product marketing and client communications to ensure alignment with regulatory standards.
  • Act as the Compliance lead for managing exchange-related queries and audits.
  • Deliver both annual and ad hoc compliance training to business stakeholders.
  • Support the business in understanding and addressing conduct risk, with a strong focus on good customer outcomes.

Standard Responsibilities

• • Ensure compliance with applicable regulatory requirements (e.g., FCA, PRA, or relevant local regulators).
  • Adhere to the operational risk framework, policies, and internal procedures relevant to your role.
  • Serve as a role model for high standards of integrity, professionalism, and company values.
  • Comply with all regulatory conduct rules and internal codes of conduct.
  • Escalate breaches, incidents, and risk events as required and contribute to risk mitigation processes.

Skills & Experience Required

• • Extensive compliance advisory experience in a bank, brokerage, or listed derivative exchange environment.
  • In-depth knowledge of wholesale financial markets, with expertise across Equities, Rates, FX, and Credit.
  • Strong understanding of global regulatory frameworks (e.g., FCA, EMIR, MiFID II, Dodd-Frank).
  • Proven experience engaging with exchanges and regulators is advantageous.
  • Degree educated (or equivalent); industry certifications preferred (e.g., CISI, ICA).

Core Competencies

• • Excellent stakeholder management and relationship-building skills across all levels.
  • Proactive mindset with the ability to anticipate regulatory developments and advise accordingly.
  • Resilient under pressure with the ability to manage multiple priorities and tight deadlines.
  • Strong communication skills - both verbal and written.
  • Demonstrates initiative, integrity, curiosity, and strategic thinking.
  • Collaborative, team-oriented, and committed to fostering a positive compliance culture.
  • Results-driven with a strong focus on operational effectiveness and client outcomes.

Regulatory Conduct Rules

You are expected to:

• • Act with integrity
  • Act with due skill, care, and diligence
  • Be open and cooperative with regulators
  • Pay due regard to customer interests and treat them fairly
  • Observe proper standards of market conduct
  • Act to deliver good outcomes for retail customers