Compliance Officer - FTC

Join a global quantitative trading firm as Compliance Officer, where you'll lead the development and execution of compliance initiatives, working closely with trading, legal, and operational teams to ensure adherence to UK/EU regulatory requirements and reporting obligations.

You'll be at the heart of regulatory decision-making, liaising with internal stakeholders to manage filings, surveillance, and policy development, while tracking regulatory change and advising on its implications. Your insights will directly influence operational integrity and support the firm's continued growth across European markets.

Please note that this is a 12-month fixed-term role.

Key responsibilities

• Provide proactive compliance advice to trading teams and review new product requests
• Develop and maintain compliance policies and procedures tailored to evolving business
• Monitor regulatory developments and communicate risks and opportunities to relevant stakeholders
• Assist in maintaining Broker Dealer compliance programs and regulatory reporting processes
• Prepare and deliver training sessions for personnel
• Respond to regulatory inquiries and exam requests
• Review escalated alerts from the firm's central surveillance function
• Lead strategic compliance initiatives and collaborate across departments on implementation

Key requirements

• Minimum 5 years of experience in financial markets compliance, ideally within trading or investment firms
• Strong understanding of UK/EU financial regulations, including:
• MiFID (particularly RTS 6) and MAR
• Transaction and position reporting frameworks (MiFIR, EMIR, CPR)
• FCA Senior Managers & Certification Regime
• Familiarity with UK/EU trading venue rules and regulatory change tracking
• Experience completing KYC requests and managing regulatory filings (e.g. AFM, FCA, AMF)
• Working knowledge of trade surveillance systems and alert review processes
• Ability to interpret and apply new regulatory requirements to business operations
• Excellent analytical skills with attention to detail, especially when reviewing large volumes of trade/order data
• Strong communication skills and ability to collaborate across legal, trading, and operational teams