ABOUT US

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

This is a permanent role supporting the Group Head of Compliance across a range of activities including:

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 provide actionable recommendations to mitigate compliance risks

Assisting with conflicts of interest processes (e.g. gifts and hospitality, personal account dealing, and outside business interests) in line with internal procedures and as directed by the line manager

Assisting with maintaining the regulatory change log, including compliance monitoring programme and reviewing updates from the Financial Conduct Authority and other relevant bodies

Assisting with the KYC and onboarding which includes individuals and market counterparties for bond trading

Responding to business queries on compliance-related matters

Contributing to ad hoc tasks and projects as required

Working collaboratively 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

Experience: 3–7+ years in compliance within financial services, with specific experience in capital markets or asset management preferred.

Knowledge: Strong understanding of regulatory frameworks such as MIFID II, MAR, IFPR, and FCA rules.

Skills: Strong analytical abilities, attention to detail, and communication skills for interacting with traders and regulators

ADDITIONALLY, SHOULD HAVE

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

Competitive salary and comprehensive benefits package

Flexible and hybrid working arrangements

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