Compliance Specialist

About the Position

We are looking for an experienced Compliance Specialist who can help ensure that we remain compliant with UK and EU laws and regulations. In this role, you'll need to have a strong grasp of EU and UK regulations while also understanding how they fit into the bigger picture of our global trading landscape. 

Responsibilities of the role include:

• Providing real-time advice to trading desks


• Assisting with responding to regulatory inquiries and managing relationships with trading venues and regulators


• Acting as a key UK compliance point person for new business initiatives across the firm


• Maintaining detailed and accurate documentation of firm processes and procedures


• Monitoring regulatory changes and enforcement actions, and thinking critically about their application to our business


• Updating and drafting policies and procedures to meet evolving regulatory requirements as our business expands

This role sits within our Legal and Compliance team, a dedicated group of analysts who share a passion for protecting our colleagues as they focus on their daily work. In addition to your daily responsibilities, you will support other team initiatives as needed.

About You

• Have 10-15 years of trading advisory compliance experience at a proprietary trading firm, hedge fund, or bank


• Ideally you will have cross asset class, and cross product type compliance experience


• Have a compliance background with financial services regulatory expertise


• Experienced with providing compliance support to traders and trading desks


• Highly organized with strong written and verbal communication skills


• Self-starter who can manage projects independently without constant supervision


• Exercise good judgment; be humble about what you don’t know


• Proactive in seeking information and connecting with relevant stakeholders


• Have an inquisitive mindset; willing to ask questions and investigate further


• Able to understand broader objectives and implement appropriate compliance solutions


• Listed options experience is a plus


• Fluency in English is required

If you're a recruiting agency and want to partner with us, please reach out to [email protected].