Compliance Advisory Manager required for a leading financial services business, supporting its institutional and professional client trading business.
This is a hands-on advisory role, working closely with trading desks and wider business stakeholders to provide practical regulatory advice in a fast-paced environment.
Key responsibilities- Provide day-to-day regulatory advice to trading and business teams.
- Advise on institutional and professional client activity, including client categorisation and conduct requirements.
- Support new products, platform developments and business change.
- Review and advise on Financial Promotions.
- Provide guidance on regulatory developments and their impact on the business.
- Work closely with Trading, Risk, Legal and Operations.
- Strong Compliance Advisory experience within a trading environment.
- Good knowledge of COBS, CASS, MAR, MiFID II and EMIR.
- Experience supporting institutional, professional client, Prime or DMA-related business.
- Strong understanding of trading and investment products.
- Comfortable working directly with trading desks and advising on real-time issues.
- Commercial, pragmatic and able to operate at pace.
London – 3 days per week in the office.
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