Senior Compliance Advisory Officer

2 weeks ago

London, United Kingdom Cantor Fitzgerald Full time

**Job Opportunity: Senior Compliance Advisory Officer (Director / Executive Director)**

**Hybrid | Central London**
**Department**:CFE Compliance
**Reports to**:Head of CFE Compliance

**About Cantor Fitzgerald Europe (CFE)**

Cantor Fitzgerald Europe (CFE) is a dynamic and fast-growing capital markets and financing business, spanning **Investment Banking**and **Sales & Trading**. As a crucial part of this high-energy environment, the **CFE Compliance team**enables growth through proactive, solutions-oriented regulatory support.

We’re a **collaborative, forward-thinking team**looking for someone who thrives on challenge, embraces change, and is excited to shape the future of a rapidly scaling business.

**The Role**

As a **Senior Compliance Advisory Officer**, you will be a key partner to the business, providing expert compliance guidance across **Investment Banking**, **Sales & Trading**, and optionally, **Portfolio and Asset Management**. This role is pivotal in ensuring strong controls around market conduct, conflicts of interest, and the handling of material non-public information (MNPI). You’ll support strategic initiatives including new product launches, market expansion, and regulatory change—embedding compliance into the heart of business innovation.

**Key Responsibilities**
- Partner with the Head of Compliance and wider teams on **strategic growth projects**, including new business lines, geographic expansion, and digital transformation.
- Deliver **real-time advisory support**to front-office teams across Investment Banking, Sales & Trading, and Research.
- Develop and maintain **compliance policies and procedures**aligned with evolving regulatory expectations.
- Design and implement **monitoring and testing plans**to evaluate and enhance control effectiveness.
- Lead **regulatory risk assessments**and collaborate with Legal, Risk, Finance, and business teams to ensure robust controls.
- Contribute to **regulatory horizon scanning**and strategic readiness planning.
- Deliver training on **conduct risk, regulatory requirements, and compliance obligations**.
- Present **compliance MI and updates**to senior leadership and governance committees.
- Interface with **regulators, auditors, and internal assurance teams**as needed.

**What We're Looking For**
- **15+ years**of experience in Compliance Advisory roles, with expertise in **Investment Banking and Sales & Trading**(Asset/Portfolio Management experience a plus).
- Proven ability to develop and maintain robust **compliance frameworks**and monitoring programs.
- Deep knowledge of **UK, EU, and global regulations**(e.g., MAR, MiFID II, DTR, SSR).
- Strong track record in supporting **strategic business initiatives**and **regulatory change**.
- Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom EKIM Consulting Full time

    **Permanent Contract I Hybrid working I Banking**_My client is a specialised Challenger Bank focused on international payments and cash management services. The Bank offers low-cost basic corporate banking products that include international transactions, multi-currency cash management and UK domestic payments.Their suite of products is designed to simplify...

  • Senior Compliance Advisory Officer

    5 days ago

    London, Greater London, United Kingdom St. James's Place Full time

    Are you ready to chart your own career path? At SJP we need talented individuals like yourself to support our evolving culture. If you're seeking an employer that is passionate about excellence, innovation and autonomy, SJP could be the place for you.At a glance:Location:London - PaddingtonWorkplace Type:HybridEmployment Type:PermanentSeniority:Mid-Senior...

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom TP ICAP Full time

    Job Description The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

  • Regulatory Compliance Advisory Officer

    6 days ago

    London, United Kingdom Kite Human Capital Full time

    **Regulatory Compliance Advisory Officer - Financial Markets - London - £80k - £90k** Regulatory Compliance Advisory Officer required. My client, a leading financial market business, is looking for a Regulatory Compliance Advisory Officer to join their Compliance Advisory team. This role will be based in the city and are offering a competitivesalary of up...

  • Compliance Advisory Officer

    2 weeks ago

    London, United Kingdom eFinancialCareers Full time

    We have partnered with a UK leading private bank who are looking to bring in a Compliance Advisory Officer. They have grown progressively over the years and are keen to ensure that this continues with this hire. The role will exist to ensure that all areas of the bank will be aware of any new financial services legislation and to provide Compliance advice...

  • Senior Administrator – Restructuring Advisory

    1 week ago

    London, United Kingdom FRP Advisory Full time

    About FRPAt FRP, we are a leading national business advisory firm based in the UK. With over 900 team members, including more than 100 partners, we specialise in Corporate Finance, Debt Advisory, Forensic Services, Financial Advisory and Restructuring Advisory. Operating from 35 offices across the UK, Isle of Man and Cyprus, we are dedicated to helping...

  • Senior Compliance Advisory

    2 days ago

    London, United Kingdom eFinancialCareers Full time

    **Key Responsibilities**: - Monitoring, interpreting and overseeing key regulatory developments, including identifying changes to these that could affect the business - Offering advice and guidance to other business units as required - Implementation of suitable compliance controls to new business initiatives and new products - Working closely with key...

  • Senior Administrator – Restructuring Advisory

    1 week ago

    London, United Kingdom FRP Advisory Full time

    About FRPAt FRP, we are a leading national business advisory firm based in the UK. With over 900 team members, including more than 100 partners, we specialise in Corporate Finance, Debt Advisory, Forensic Services, Financial Advisory and Restructuring Advisory . Operating from 35 offices across the UK, Isle of Man and Cyprus, we are dedicated to helping...

  • Senior Compliance Advisory Manager

    2 weeks ago

    Greater London, United Kingdom Ascot Lloyd Full time

    Senior Compliance Advisory Manager Location: London (hybrid)Hours: 35 hours per weekContract: PermanentSMCR Function: Conduct Role About Ascot LloydAscot Lloyd is one of the UK’s leading independent wealth management firms. Our purpose is simple: to deliver exceptional outcomes for our clients while fostering a culture of integrity, collaboration, and...

  • Compliance Advisory

    2 days ago

    London, United Kingdom Barclay Simpson Full time

    Compliance Advisory Specialisms: Compliance Advisory Jobs London VP level Job type: Permanent Sector: Financial Services Job reference: NE43792 Apply for this job Compliance Officer – Advisory (Capital Markets / FX Payments) London | Hybrid (3 days office / 2 days remote) | Up to VP level A growing capital markets business is seeking a Compliance Advisory...