I am currently recruiting a Senior Compliance position for a well-renown Boutique Capital Markets Broker based in London.
Reporting directly into the Head of Compliance this is an excellent opportunity to further your career in a broad coverage, exciting business environment.
- Provide clear and consistent technical advice and guidance to front office colleagues in respect of the FCA’s rules, with a strong understanding of UKLA rules, MAR and asset classes.
- Keep on top of front office related regulatory change with regular updates to the business and formation of new policy.
- Provide compliance input into a range of projects such as the launch of new products, take on of new clients and other development initiatives.
- Aiding the rest of the team in adhoc compliance oversight activities
- Minimum 5 years of experience in cross asset market making and/or Corporate Broking.
- Must have advisory experience in context of FCA regulatory guidance
- Ability to multi task
- Build strong relationships with the business is important
- Excellent written and verbal communication