Trading Compliance Advisory

Overview

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 EMEA Trading Compliance team, which collaborates closely with Trading Compliance teams globally to ensure a consistent, joined-up approach to advice, controls, and issue management. The successful candidate will also contribute to firm-wide initiatives alongside their regional responsibilities.

Working 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.

Key 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
• Develop, enhance, and maintain trading-related policies, procedures, and guidance, ensuring they remain fit for purpose as the business, regulatory landscape, and market conditions evolve
• Support the firm's trade surveillance framework as required, including the review and escalation of alerts, calibration and tuning of surveillance models and thresholds, and the identification of coverage gaps as new products, strategies, and venues are onboarded
• 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 as part of the wider global Trading Compliance team, coordinating with colleagues across regions to share knowledge, align on approach, and support cross-regional projects and coverage where required
• Work closely with Regulatory Compliance to ensure consistent interpretation of regulatory requirements and co-ordinated issue management

Experience & Skills

• 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

Desirable

• Experience across fixed income / derivatives / equity markets
• Experience with trade surveillance / market abuse controls
• Experience drafting and maintaining compliance policies and procedures
• Experience operating under FCA and/or CBI supervision
• Experience working within a global or multi-region compliance function
• Relevant compliance qualification

Key Attributes

• Clear and confident communicator, comfortable in a trading environment
• Commercially aware, with strong judgement and the confidence to make decisions while recognising when to escape
• Collaborative team player who builds effective relationships across Trading and Compliance, including with colleagues in other regions
• Self-sufficient and organised, able to manage competing priorities

Adaptable and responsive to evolving business and market conditions