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About the Role

Senior second-line Compliance Officer providing regulatory advisory and oversight across the Equities business, covering both execution (sales & trading) and research. This role partners with the front office and senior management to manage conduct risk and meet FCA and SMCR obligations.

Responsibilities

• Advise execution desks on market abuse (MAR), best execution, order handling, inducements, and MiFID II transaction reporting.
• Oversee trade and communications surveillance.
• Advise the research function on independence, conflicts, inducements, and distribution/disclosure controls.
• Manage conflicts of interest, information barriers, wall-crossing, and control of inside information.
• Support the SMCR framework (Statements of Responsibilities, certification, fitness & propriety, conduct rules).
• Contribute to governance committees and reporting.
• Maintain compliance policies.
• Contribute to risk assessment and monitoring plan.
• Manage regulatory interactions, assess regulatory change, and support client classification and financial promotions approval.

Requirements

• Significant compliance experience in an FCA-regulated equities business, covering both execution and research.
• Strong knowledge of the FCA Handbook, MiFID II/MiFIR, and MAR.
• Demonstrable experience supporting SMCR and governance arrangements.
• Track record advising and influencing senior front-office stakeholders.
• Experience with surveillance, conflicts, and information barriers.
• Relevant qualification (ICA / CISI Diploma or equivalent).

Skills

• Strong technical regulatory expertise
• Commercial awareness
• Excellent stakeholder management
• High integrity
• Sound, defensible judgement
• Ability to operate autonomously at a senior level

Experience Level

• Senior level

About the Company

• Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.
• Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
• We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
• As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Equal Opportunity

• Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued.
• We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.