Current jobs related to Regulatory Advisor for Trading Floor Compliance - London, Greater London - One Ten Associates

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewThe Vice President of Compliance position at Compliance Professionals requires a seasoned professional with experience in public markets, specifically in the sell or buy side. This role involves maintaining policies, procedures, and systems governing IPO and divestment activities.ResponsibilitiesOversight of compliance with beneficial ownership...

  • Trade Surveillance Expert

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Trade Surveillance ExpertCompany Overview:As a leading securities firm in the City, we are seeking an experienced Trade Surveillance Expert to join our Compliance Professionals team. This role is critical in ensuring our firm's compliance with regulatory requirements and maintaining a risk-based approach to surveillance activities.Salary: £80,000...

  • Compliance Risk Manager

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Compliance Risk Manager to join our team at Compliance Professionals. As a Trade Surveillance Manager, you will play a critical role in ensuring the integrity of our financial systems and identifying potential risks.The successful candidate will have 5+ years of experience in trade surveillance/market abuse...

  • Senior Manager

    1 day ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Regulatory Compliance Expertise SoughtWe are looking for an experienced Vice President of Compliance to join our team. The successful candidate will have extensive knowledge of public markets and experience in developing and implementing policies, procedures, and systems. Key responsibilities include oversight of compliance with beneficial ownership and...

  • Regulatory Oversight Director

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Senior Leadership OpportunityWe are seeking a Regulatory Oversight Director to join our team at Compliance Professionals. This role will suit an individual with experience in Public Markets based in London.About the PositionThis is a senior leadership position that requires the successful candidate to oversee compliance with beneficial ownership and trade...

  • Regulatory Compliance Specialist

    2 days ago

    London, Greater London, United Kingdom Barclay Simpson Full time

    Barclay Simpson: A Leading Commodities FirmWe are seeking a highly skilled Regulatory Compliance Specialist to join our team in London, supporting the Commodities and Global Markets business. This role is focused on providing expert regulatory advice and guidance on FCA and Exchange rules, ensuring compliance across the commodities trading desks.This...

  • Senior Regulatory Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleThis Compliance VP position offers a unique blend of regulatory expertise and business acumen. You will be responsible for maintaining policies, procedures, systems, and controls governing IPO and divestment activities.You will oversee compliance with beneficial ownership and other trade reporting rules, preparing and submitting filings with...

  • Regulatory Compliance Officer Financial Institution

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title:Regulatory Compliance Officer Financial InstitutionJob Description:We are seeking a highly motivated Regulatory Compliance Officer to join our team at Compliance Professionals. The successful candidate will work closely with the senior management team to ensure that our financial institution maintains the highest standards of compliance and...

  • Compliance Regulatory Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewOur client is a London-based broker and market maker, specialising in the trading of futures, options and other derivatives.We are seeking a skilled Compliance Legal Assistant to join our team. As a key member of our compliance department, you will be responsible for ensuring that all regulatory requirements are met. This includes writing...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Regulatory Compliance SpecialistA prestigious institutional commodities broker seeks a highly skilled Regulatory Compliance Specialist to join their team in Central city location. This specialist will play a critical role in supporting the delivery of annual compliance programs and responding to external compliance requests.The ideal candidate...

  • Regulatory Compliance Specialist

    1 week ago

    London, Greater London, United Kingdom SGS Société Générale de Surveillance SA Full time

    Job OverviewWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at SGS Société Générale de Surveillance SA. As a key member of our Markets Compliance Advisor, Analyst/Associate role, you will play a critical part in ensuring our business operations align with regulatory requirements.The estimated salary for this position is...

  • Vice President of Compliance Strategy

    1 day ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a highly experienced Compliance Vice President to lead our Compliance function. The successful candidate will have a deep understanding of public markets and experience in implementing policies, procedures, and systems. Key responsibilities include oversight of compliance with beneficial ownership and other trade reporting rules,...

  • Senior Governance and Compliance Advisor

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We're seeking a highly experienced Senior Governance and Compliance Advisor to join our team at AJ FOX COMPLIANCE. As a key member of our governance function, you'll play a critical role in ensuring our business operates with the highest standards of ethics and compliance.Your expertise in governance and compliance will be invaluable in helping us navigate...

  • Regulatory Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking a skilled Compliance Officer to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for ensuring that our marketing and distribution activities comply with regulatory requirements.Job Description:Review and Approve Financial Promotions: You will review and approve...

  • Regulatory Compliance Expert

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a highly motivated Compliance Oversight Specialist to join our team in London. As a key member of our Compliance team, you will play a critical role in ensuring our company's compliance with regulatory requirements. The estimated salary for this role is £65,000 - £85,000 per year.About the RoleThis is an exciting opportunity to work with a...

  • Regulatory Surveillance Manager

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Regulatory Surveillance PositionWe are seeking an experienced Compliance Monitoring Specialist to join our team. As a Compliance Monitoring Specialist, you will play a key role in ensuring that our company remains compliant with all relevant regulations and laws.About the RoleThis position requires experience in a trade monitoring/trade surveillance function...

  • Regulatory Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Regulatory Compliance SpecialistEstimated Salary: £55,000 - £70,000 per annum.About the Role:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for ensuring that our business operations comply with relevant regulatory...

  • Head of Regulatory Compliance

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Overview: As the Global Head of Compliance, you will play a critical role in ensuring our company's compliance with regulatory requirements. You will be responsible for managing global regulatory relationships, providing advisory coverage, and overseeing compliance risk globally.About the Position: We are looking for a seasoned professional with...

  • Regulatory Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals.About the RoleThis is an excellent opportunity for a seasoned compliance professional to take on a key role in ensuring that our marketing and distribution activities are compliant with regulatory requirements.Key ResponsibilitiesReview and approve...

  • Regulatory Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking an experienced Regulatory Compliance Officer to join our team at Compliance Professionals. This is a fantastic opportunity for a skilled professional to take their career to the next level.Job DescriptionIn this role, you will play a crucial part in ensuring that our company adheres to regulatory requirements. You will provide...

Regulatory Advisor for Trading Floor Compliance

2 months ago

London, Greater London, United Kingdom One Ten Associates Full time

We are working with a reputable hedge fund, headquartered in London. One Ten Associates is seeking an experienced Regulatory Advisor to join the existing Compliance team, reporting directly into the Chief Compliance Officer.

This role will be focused on providing regulatory advice and guidance to the trading teams across multiple asset classes (Equities, Fixed Income, Derivatives) in adherence to regulatory rules (FCA, SEC, NFA and CFTC).

Key responsibilities include:

  • Providing regulatory advice and support to the trading teams
  • Ensuring compliance monitoring and surveillance activities are performed effectively
  • Drafting, updating, and implementing policies and procedures
  • Preparing and submitting regulatory reports and filings

The ideal candidate will have circa 5-8+ years of experience within a hedge fund, prop trader, or investment bank, with a strong background in providing regulatory advice and guidance.

A competitive salary of approximately £120,000 - £180,000 per annum is on offer, commensurate with experience.