Trading Compliance Advisory
Core
Provide regulatory advice and oversight of market conduct and trading risks to front office trading desks.
Role type
Senior IC trading compliance advisor
Builds
Trading conduct controls, market abuse controls, and trade surveillance frameworks
Domain
Financial services / Trading / Regulatory Compliance
Deliverable
client delivery
Required skills
MiFID II, MAR, trade surveillance, policy development, market abuse controls, regulatory interpretation
Preferred skills
Fixed income, derivatives, equity markets, FCA/CBI supervision, global compliance function experience, compliance qualification
Technologies
Trade surveillance models, market data systems
Responsibilities
Provide day-to-day compliance advice to traders and desk heads; Support new trading strategy initiatives and regulatory alignment; Develop and maintain trading policies and procedures; Review and escalate trade surveillance alerts; Advise on market conduct matters and deliver training; Coordinate with global teams on cross-regional projects
Seniority
Senior, hands-on IC