Senior Compliance Officer

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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