Regulatory Counsel / Senior Compliance Officer

Rev & Regs are recruiting for a Regulatory Counsel / Senior Compliance Officer position working for a leading institutional investments brokerage in London.

Role Overview

A key role supporting the legal and regulatory framework of a growing institutional multi-asset brokerage. You will advise on global regulatory requirements, strengthen compliance systems, and partner with senior leadership to support strategic growth across multiple jurisdictions.

Key Responsibilities

Regulatory Compliance

• Provide advice on UK and global regulatory frameworks (e.g. FSMA, MiFID II, EMIR, FCA rules).
• Monitor regulatory developments and assess business impact.
• Support implementation of compliance frameworks, including AML/CTF, market abuse, best execution, and conflicts of interest.
• Advise on cross-border regulatory requirements across UK, EU, APAC, and Middle East.

Legal

• Draft, review, and negotiate institutional and commercial agreements (e.g. ISDA, prime brokerage, client terms).
• Support legal disputes and liaise with external counsel.
• Ensure legal documentation aligns with regulatory requirements and business objectives.

Governance

• Support corporate governance activities, including board processes and regulatory filings.
• Contribute to risk management and internal control frameworks.
• Work cross-functionally with compliance, risk, and trading teams.

Team Leadership

• Mentor and support junior compliance staff.
• Provide oversight on client onboarding processes (AML/KYC).
• Act as a subject matter expert within the compliance team.

Skills & Experience

Essential Experience

• 5–10 years in financial services regulation, compliance, or financial markets law.
• Strong knowledge of UK/EU regulatory frameworks (FSMA, MiFID II/MiFIR, EMIR, MAR, FCA Handbook).
• Experience working with global regulators (e.g. FCA, ESMA, ASIC, HK SFC).
• Proven experience drafting and negotiating institutional agreements.
• Hands-on experience with compliance monitoring (AML, market abuse, best execution).
• Experience in corporate governance and regulatory reporting.
• Prior experience managing or mentoring junior staff.

Technical Knowledge

• Understanding of institutional trading (FX, CFDs, equities, commodities).
• Knowledge of risk management and regulatory compliance frameworks.
• Familiarity with AML/KYC, onboarding, and sanctions processes.
• Strong legal drafting and analytical skills.

Salary: £80,000-£90,000 pa

Location: City of London, 5 days a week office.

…