5-7 years of compliance advisory experience in wholesale financial markets
Expertise in credit and equity products, particularly listed equity derivatives
Strong knowledge of US SEC and SFC regulatory requirements
Deep understanding of securities market structure and trading venue regulations
Proven ability to provide compliance advice on new products and regulatory changes
Excellent stakeholder management and communication skills
Ability to deliver pragmatic, risk-based solutions
Responsibilities
Support the Securities & Venues Advisory team with high-quality delivery and oversight
Engage with Business Heads to provide regulatory advice on business strategies
Act as a primary contact for senior stakeholders, offering trusted regulatory guidance
Design and deliver global training programs to enhance compliance culture
Review change management initiatives, including new product approvals and jurisdiction expansions
Contribute to global strategic initiatives and compliance due diligence
Represent Compliance in senior governance forums to influence decision-making
Benefits
Hybrid work model
Opportunities for professional development and training
Collaborative work environment across global teams
Access to a diverse range of projects and strategic initiatives
Engagement with senior leadership and influence on business direction
Full Job Description
Role Overview:
Compliance Advisory plays a critical role in supporting and constructively challenging the business to meet the highest standards of regulatory compliance and conduct. The function is organized across regional advisory teams, complemented by three Global Heads of Product Advisory responsible for:
Securities &, Venues;
Derivatives Advisory (Rates, FX, Money Markets and Government Bonds)
ETD & Commodities Advisory
This role is to support the Head of Securities & Venues Advisory, with responsibility for providing specialist advisory coverage across these areas on a firm-wide basis. The team provides subject matter expertise across securities markets, including equity derivatives and venues supporting all relevant divisions (currently Global Broking and Liquidnet).
The team works in close partnership with regional Compliance Advisory teams, providing specialist input into desk reviews, regulatory training programmes, and the management of complex investigations, as well as supporting the consistent application of global policies and standards.
Role Responsibilities:
Be part of Securities & Venues Advisory team providing high standards of delivery and providing expert oversight and support to global businesses.
Engage closely with Business Heads to provide advice and challenge on business strategy from a regulatory and conduct perspective.
Act as a primary point of contact for senior front office stakeholders, providing trusted, outcome based regulatory advice.
Help to design and deliver global thematic training programmes to enhance regulatory awareness and promote a strong compliance culture.
Review and provide guidance on change management initiatives, including new product approvals, new broking models, and expansion into new jurisdictions.
Work on global strategic initiatives, including potential acquisitions, and provide Compliance input into due diligence and implementation planning.
Represent Compliance at senior business and governance forums, influencing decision-making and ensuring appropriate risk management.
Partner with regional Compliance and Regulatory teams to assess and coordinate the global impact of upcoming regulatory developments.
Provide advice on the compliance implications of new products, solutions, execution workflows, and market structure developments to ensure alignment with applicable regulatory and venue requirements.
Experience / Competences:
Essential
Significant compliance advisory experience within wholesale financial markets, with expertise across credit and equity products, including listed equity derivatives.
Strong understanding of interdealer brokerage and agency execution models, electronic trading platforms, and associated market infrastructure.
Significant knowledge of either US SEC regulatory requirements, including Alternative Trading System (ATS) regulations, or US SFC regulatory requirements, together with a sound working knowledge of the other jurisdiction and a broad understanding of US securities regulatory frameworks.
Strong understanding of securities market structure, trading venue regulation, execution models, and regulatory developments impacting wholesale financial markets.
Demonstrated experience providing compliance advice on new products, business initiatives, trading workflows, and regulatory change initiatives.
Ability to assess complex regulatory issues and deliver pragmatic, risk-based solutions that support commercial objectives while maintaining regulatory compliance.
Proven ability to build credibility and influence senior business stakeholders across front office, Compliance, Legal, Risk, and Operations functions.
Excellent stakeholder management skills, with the ability to adapt communication and engagement style effectively across seniority levels, functions, and regions.
Desired
Demonstrated ability to manage multiple priorities and deliver high-quality outcomes against tight deadlines in a fast-paced environment.
Strong written and verbal communication skills, with the ability to communicate complex regulatory requirements clearly and concisely.
Collaborative team player with experience working across global and regional teams to deliver consistent regulatory outcomes.
