Senior Compliance Officer - Advisory
The Role
We are representing a leading Trading Venue seeking a Senior Compliance Officer to provide first‑line compliance advisory support across EMEA, with secondary coverage for APAC during European hours.
Reporting to the CCO for EMEA & APAC, the role sits at the heart of the firm's regulatory and business advisory model. You will work closely with Legal, Regulatory Affairs, and regional Compliance teams, supporting the management of regulatory risk while enabling growth across a complex, multi‑jurisdictional market infrastructure.
Key Responsibilities
Advisory
- Act as a senior compliance contact for the business across EMEA
- Advise on regulatory change, new initiatives, and product launches
- Provide commercially focused guidance on venue rulebooks, transparency regimes, DRSP obligations, and the interaction between MiFID II / MiFIR and EMIR (EU & UK)
Incident Management
- Lead day‑to‑day regulatory issues and incidents, including assessments, notifications, and remediation
- Investigate potential breaches and escalate material issues with clear recommendations
Regulatory Engagement
- Support regulatory relationships with the AFM, FCA, ESMA, and other European regulators
- Prepare for supervisory reviews, draft responses to information requests, and manage Dear CEO and priority responses
Governance & Reporting
- Draft Board and senior management compliance reporting
- Partner with Compliance Monitoring on findings and remediation
Training, Licensing & Coordination
- Design and deliver compliance training
- Manage licence applications and variations
- Coordinate cross‑regional compliance matters and support financial crime and MLRO reporting
Experience Required
- 10+ years' experience in wholesale financial markets, including senior compliance advisory roles
- Strong knowledge of MiFID II / MiFIR (EU), including trading venue obligations, DRSPs, and non‑equity transparency
- Experience advising across UK and EU regimes, including regulatory divergence
- Confident communicator with regulators and senior stakeholders
- People management experience
Preferred Background
- Experience within, or closely aligned to, a regulated Trading Venue, MTF, exchange, or market infrastructure provider
- Understanding of the trading venue perimeter
- EMIR / UK EMIR knowledge
- Experience engaging with ESMA, AFM, or another EU NCA
- Working knowledge of financial crime risk frameworks
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.