Senior Compliance Officer – Exchange – 15th August 2019


Our client is seeking a senior Compliance professional to act as a Senior Compliance Executive for the EMEA region. The role will involve interaction with the Firm’s global Compliance team with a focus on providing clear and consistent technical guidance to the business in regard to electronic trading. The role will be based in the London office and will report directly into the Head of Regulation and Compliance.



  • Provide clear regulatory guidance and compliance coverage support to equity and fixed income electronic trading.
  • Assume the responsibility for Electronic trading Compliance under FCA and ESMA requirements. Provide direct support and compliance coverage to EMEA Sales, the Trading Desk, and Group Research platform services.
  • Review and support new trading initiatives or new or amended products as developed by the trading, sales, product or development group.
  • Support all regulatory trading examinations, inquiries and requests, includes handling interactions with ESMA, FCA, and CBI regulatory personnel as appropriate.
  • Oversight of trade execution and reporting process for the Equity Group, including trading errors, short sales, protection of member or trading customer’s confidential information, compliance with Information Barrier requirements, latency and connectivity reporting and other trading rules.
  • Oversight for the Equity Group’s Risk Control process and specific trading risk controls.
  • Oversight of the Firm’s Best Execution infrastructure and reporting, including participating on the Firm’s Best Execution Committee.
  • Ensure consistent global compliance policies of EMEA’s equity business with other global operations.
  • Provide regulatory guidance for existing and new businesses, including equity trading, algos, analytical data and research.
  • Review all new regulatory proposals to assess and advise on potential impact on The Firm.
  • Establish new compliance processes and draft compliance procedures as and when required.


Skills and Experience

  • Significant experience providing electronic trading advice to traders working within financial institutions, broker-dealers, or buyside firms
  • Experience directly dealing with regulators, preferably at least one or more of the following: FCA, ESMA and/or CBI.
  • Experience establishing compliance processes and drafting compliance procedures
  • Solid understanding of technology and trading applications in the trading/financial services industry
  • Experience with risk controls with electronic equity trading, including outbound trading and algos products
  • Extensive knowledge of the UK and European regulatory environment
  • Ability to interact effectively with co-workers, regulators and customers
  • Strong organizational skills
  • Strong work ethic and hands-on approach
  • Excellent communicator with strong analytical and presentation skills (both written and verbal) with rigorous attention to detail
  • Ability to become expert on new and changing regulations and ability to learn new businesses.
  • Strong background in EU and FCA regulations
  • Proficiency with Microsoft Office products




Contact Details

Name: Emma Karslake


Number: 0203 7780309

Posted: 15th August

Ref: RSEKK11019