Trading Compliance Advisory (Tier 1 Proprietary Trading Firm)
Trading Compliance Advisory - London
Job Summary
A leading global trading firm is seeking an experienced Trading Compliance Advisory professional to join its EMEA Trading Compliance team in London. This role provides front‑office-aligned, real‑time regulatory advice to trading desks and plays a key role in maintaining high standards of market integrity across complex trading strategies and products.
Role Overview
Trading Compliance Advisory supports the business by working closely with front‑office teams to ensure trading activity is conducted in line with applicable regulatory and market conduct requirements. The role combines deep regulatory knowledge with a practical, commercially aware approach, enabling effective engagement with traders in a fast‑paced, high‑performance environment.
The successful candidate will develop a strong understanding of trading strategies, algorithms, products, and market structure in order to deliver timely, risk‑based compliance guidance. The position partners closely with Regulatory Compliance to ensure consistent interpretation of regulations and coordinated management of trading‑related risks and issues.
Key Responsibilities
- Develop and maintain an in‑depth understanding of trading strategies, algorithms, products, and market microstructure to provide effective compliance advisory support
- Act as a trusted, day‑to‑day compliance contact for trading desks, providing clear and practical advice on regulatory and market conduct matters
- Provide real‑time advisory support on MiFID II, MAR, and other relevant conduct regulations impacting trading activity
- Support the review and implementation of new trading strategies, products, and changes to existing activity to ensure regulatory alignment
- Advise on market conduct and market abuse risks, including the design and delivery of targeted training where appropriate
- Contribute to the ongoing enhancement of market conduct, surveillance, and trading risk controls, including escalation of relevant issues
- Work closely with Regulatory Compliance and other control functions to ensure consistent regulatory interpretation and coordinated issue management
- Assist with responses to internal reviews, regulatory requests, and ongoing supervision where required
Experience & Skills
- Minimum of 4 years' experience in a Trading Compliance, Markets Compliance, or front‑office advisory role
- Strong working knowledge of MiFID II, MAR, and market conduct requirements
- Experience providing compliance advice directly to traders and desk heads
- Ability to operate confidently in a fast‑paced, trading‑driven environment
- Strong communication skills with the credibility to influence senior stakeholders
Desirable Experience
- Exposure to derivatives, fixed income, equities, or multi‑asset trading environments
- Experience with market abuse frameworks, trade surveillance, or conduct risk controls
- Experience operating within an FCA‑regulated environment (additional regulators beneficial)
- Relevant compliance or regulatory qualifications
Key Attributes
- Commercially minded with strong judgement and a pragmatic approach to risk
- Confident decision‑maker who understands when escalation is required
- Collaborative team player who builds strong relationships across Trading and Compliance
- Highly organised, self‑sufficient, and able to manage competing priorities
- Adaptable, resilient, and responsive to changing business and market conditions
FAQs
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