Compliance Officer – Sales & Trading

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  • Salary:

    £65,000 - £70,000

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  • Published:

    over 1 year ago


Our client is a full service retail and institutional brokerage and Investment Banking firm with a strong global presence and due to some recent structural changes they are actively looking to recruit a Compliance Advisor within their London office.

You will be a Trade Floor Compliance specialist providing advice to front office sales and trading staff within the cash equities, fixed income and convertible bonds businesses, with a particular focus to lead the firms public side Market Abuse activities.

Key Responsibilities

  • Providing accurate and timely advice to sales and trading staff covering cash equities, fixed income and convertible bonds.
  • Assisting with matters relating to regulatory and exchange bodies i.e. FCA, LSE & Takeover Panel.
  • Daily attendance of Equity and Fixed Income business morning meetings to ensure all relevant standards are maintained 
  • Development and execution of the firms MAR monitoring programme.
  • Compliance oversight of trade and transaction reporting.
  • Identification and tracking of regulatory changes which impact the sales and trading business.
  • Lead and deliver Compliance oversight of Best Execution including the production of meaningful MI and Execution Oversight Committee papers.
  • Execution of periodic desk reviews across the equity, fixed income and convertible bonds businesses.
  • Support in the maintenance / development of the firm’s compliance policies and procedures.


  • 2-3 years’ experience in a Compliance role with exposure to sales and trading activity.
  • Working knowledge of MAR, COBS, SSR & DTR
  • Prior experience of MAR surveillance activity
  • Excellent interpersonal and influencing skills.
  • Able to work under pressure and produce results without close supervision.
  • Ability to handle heavy workload under tight timeframes and prioritise appropriately.
  • Good verbal and written presentational skills.