Senior Compliance Officer Institutional Sales and Trading Advisory

You will provide independent compliance advice to institutional sales and trading stakeholders. You will assess conduct and financial-crime risks, review communications, support new initiatives, handle regulatory enquiries, monitor regulatory developments, deliver training, and guide junior colleagues.

Responsibilities

• Provide independent compliance advice to Institutional Sales and Trading
• Advise on sales and trading conduct, counterparty interactions, communications, conflicts of interest, confidential information, and cross-border activity
• Assess financial-crime risks across counterparty onboarding, jurisdictions, and trading activity
• Review external communications, marketing materials, presentations, and disclosures
• Lead compliance input for new products, counterparties, markets, and strategic initiatives
• Assess surveillance escalations and potential conduct concerns
• Coordinate responses to regulatory and exchange enquiries, audits, and information requests
• Monitor regulatory developments and maintain policies and guidance
• Deliver targeted training and support junior colleagues

Requirements

• Significant compliance, legal, risk, or control-function experience within a financial institution
• Experience in an investment bank or institutional markets business with trading-floor exposure
• Knowledge of institutional-market regulatory, conduct, and financial-crime risks
• Knowledge of sales conduct, conflicts of interest, confidential information, cross-border requirements, AML, sanctions, counterparty due diligence, and jurisdictional risk
• Experience advising front-office stakeholders
• Understanding of financial markets, products, trading strategies, and transaction workflows
• Experience across multiple jurisdictions, particularly the UK, EU, or US, is advantageous
• Experience guiding junior colleagues and providing feedback

Benefits

• Performance-based bonus structure
• 27 paid vacation days plus UK public holidays
• Daily breakfast and lunch
• Commuting-expense support
• Private medical insurance
• Pension scheme
• ClassPass fitness membership
• Access to conferences and tech events
• International transfer opportunities