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About the Role

We are seeking a Compliance Specialist to partner with our options desk, serving as the primary contact for daily compliance matters and acting as a subject matter expert on trading activities, associated risks, and governing regulations.

Responsibilities

• Drafting and maintaining compliance policies, guidance, and procedures for the desk's activities.
• Providing advice on regulatory and policy interpretation and escalating compliance-related questions.
• Understanding and documenting desk workflows, decision-making processes, and significant events.
• Assessing desk activity and advising on necessary control requirements.
• Reviewing new trading flows and implementing appropriate compliance frameworks.
• Liaising between the desk and centralized compliance functions, including surveillance, employee compliance, and regulatory reporting.
• Conducting targeted risk assessments and periodic risk-based reviews of desk activity.

Requirements

• 8+ years of relevant compliance experience at a bank, proprietary trading firm, hedge fund, or exchange, with a focus on options or listed derivatives.
• Deep knowledge of options market structure, exchange rules, and order handling requirements.
• Familiarity with the UK and EU regulatory landscape (e.g., FCA rules, MAR, MiFID II) and its application to a global trading business.
• Ability to translate complex regulatory topics into clear, practical guidance for traders and colleagues.
• Highly organized, self-starter capable of managing projects independently.
• Demonstrates good judgment and discretion, with a willingness to ask questions and admit mistakes.
• Curious about the firm's operations and the role's contribution to the overall business.
• Fluent in English.

Skills

• Compliance advice on equity derivatives
• OTC and exotic options trading
• EU and UK listed options
• Regulatory interpretation
• Risk assessment
• Compliance frameworks
• Options market structure
• Exchange rules
• Order handling requirements
• UK and EU regulatory landscape (FCA rules, MAR, MiFID II)

Location

• London

Work Type

• Full-time

Experience Level

• 8+ years

About the Company

• The Legal and Compliance team is a dedicated group of professionals with a deep understanding of the law, a meticulous commitment to regulatory protocol, and a passion for protecting colleagues.