Job Overview

Senior Corporate Broking & Research Compliance Officer

Location: London Salary: £Competitive
Type: Permanent Contact: Liam O'Mahoney
Posted: 10 months ago

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.

Key responsibilities;

  • 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

Key skills;

  • 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
If you are interested in this role, please apply below or contact me for mor information.