Accessibility
Home
Jobs
Upload CV
Find Talent
Careers
Compliance Advisory
Compliance Advisory
£100,000 – £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.
Please contact me with your CV directly NE@barclaysimpson.com
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
