Senior Compliance Officer

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.  

Requirements

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 

Benefits

• Competitive salary and comprehensive benefits package 

• Flexible and hybrid working arrangements