Markets Compliance/ Regulatory Compliance

"Step into a role where regulatory expertise directly shapes trading conduct and market integrity."

Our client, a highly regarded financial institution is seeking a Markets Compliance Officer to join its dynamic compliance function supporting Global Markets activities. This is a critical hire for professionals who thrive in fast-paced trading environments and enjoy acting as a trusted advisor to Front Office stakeholders.

This position sits at the intersection of regulation, trading activity, and risk oversight, offering meaningful exposure to business strategy, surveillance controls, and regulatory advisory responsibilities.

The successful candidate will:

• Provide regulatory and compliance advisory support to the Global Markets business across products, activities, and new initiatives.
• Play a key role in enhancing and governing the Personal Account Dealing (PAD) framework, including oversight, monitoring, and process optimisation, with involvement in automation initiatives (StarCompliance).
• Act as secondary coverage for communications and trade surveillance, supporting monitoring controls and investigative activities.
• Lead or contribute to compliance desk reviews, addressing emerging risks and policy-driven assessments.
• Support broader central compliance responsibilities, including licensing and compliance training initiatives.

• 5 – 8 years of experience within Markets Compliance, Regulatory Compliance, or Compliance Advisory roles, ideally within banking environments.
• Strong working knowledge of Global Markets products, trading conduct risks, and surveillance frameworks.
• Experience or exposure to PAD governance / monitoring / controls will be highly valued.
• Ability to provide pragmatic, commercially aware compliance guidance to business stakeholders.
• Degree in Finance, Banking, Accountancy, Business, or related disciplines.

If you or anyone within your network is keen to discuss it further then do share your resume with [email protected]/ [email protected]