Compliance Advisory

2 days ago

London, United Kingdom Barclay Simpson Full time

**Compliance Advisory**:

- Specialisms: Compliance Advisory Jobs
- London
- £100,000 - £120,000
- Job type: Permanent
- Job reference: NE4241

**Compliance Advisory**:
£120,000

London -hybrid 3/2

**Key Responsibilities**:

- Act as the Compliance lead for listed derivative exchange inquiries, managing investigations and drafting responses.
- Monitor and implement regulatory changes in collaboration with relevant teams.
- Review business materials (e.g., marketing, presentations) for regulatory compliance.
- Provide ongoing compliance advice on global policies, exchange rules, and regulations.
- Engage with business stakeholders regularly to address compliance concerns and risks.
- Review and advise on business transactions and initiatives, including cross-jurisdictional compliance matters.
- Support compliance assurance activities, including risk assessments and thematic desk reviews.
- Deliver compliance training and provide input on regulatory incidents and audits.

**Standard Company Responsibilities**:

- Ensure compliance with FCA regulations and internal policies.
- Adhere to operational risk frameworks and escalate risks as needed.
- Act as a role model for integrity and high conduct standards.

**Competencies**:

- Strong stakeholder management and relationship-building skills.
- Proactive, solution-oriented, and capable of managing multiple priorities in a high-pressure environment.
- Excellent communication skills with a collaborative mindset.
- Resilient, adaptable, and able to anticipate challenges.

**Skills and Experience**:

- At least 2 years of Compliance advisory experience in a bank, brokerage, or listed derivative exchange.
- Knowledge of regulatory frameworks, especially for listed derivatives, is advantageous.
- Experience liaising with exchanges and regulators is beneficial.
- Degree-educated, with relevant financial services qualifications preferred.

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