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About the Role
Trading Compliance ensures the firm’s trading activity is effectively supported through close engagement with the front office, the delivery of timely and informed regulatory advice, and the maintenance of high standards of market integrity. This role sits within the Trading Compliance team and works in close partnership with trading desks and business management. The successful candidate will develop a deep understanding of the firm’s strategies, products, algos, and market structure in order to provide practical, commercially aware compliance guidance. The role combines real-time advisory support with oversight of market conduct and trading risks, and partners closely with Regulatory Compliance to ensure consistent interpretation of regulatory requirements across the firm.
Responsibilities
- Develop and maintain an in-depth understanding of the firm’s trading strategies, algorithms, products, and market microstructure to provide risk-based compliance support
- Act as a trusted day-to-day compliance contact for Trading, providing clear, practical advice on regulatory and conduct matters
- Support new trading strategy initiatives and changes to existing activity to ensure alignment with applicable regulatory requirements
- Advise on market conduct matters, including the delivery of targeted training where appropriate
- Contribute to the ongoing enhancement of the firm’s trading conduct and market abuse controls, including oversight and escalation of relevant issues.
- Work closely with Regulatory Compliance to ensure consistent interpretation of regulatory requirements and co-ordinated issue management
Requirements
- At least 5 years’ experience in a Trading Compliance role or similar advisory role
- Strong working knowledge of MiFID II / MAR
- Comfortable engaging directly with traders and desk heads in a fast-paced environment
- Experience across fixed income/ derivatives /equity markets
- Experience with trade surveillance/market abuse controls
- Experience operating under FCA and/or CBI supervision
- Relevant compliance qualification
- Clear and confident communicator, comfortable in a trading environment
- Commercially aware, with strong judgement and the confidence to make decisions while recognising when to escalate
- Collaborative team player who builds effective relationships across Trading and Compliance
- Self-sufficient and organised, able to manage competing priorities
- Adaptable and responsive to evolving business and market conditions
Skills
- MiFID II
- MAR
- Fixed income markets
- Derivatives markets
- Equity markets
- Trade surveillance
- Market abuse controls
- FCA supervision
- CBI supervision
- Communication
- Commercial awareness
- Decision making
- Collaboration
- Organization
- Adaptability
Experience Level
- At least 5 years