Senior Compliance Advisory Manager – Institutional
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Senior Compliance Advisory Manager – Institutional
[Employer hidden — sign up to reveal] are excited to be supporting a growing institutional and wholesale markets trading business in their search for an experienced compliance advisory specialist.
This is a high-impact 2nd line role, providing independent advice, oversight, and constructive challenge across complex trading activities, institutional client relationships, and product development.
You’ll work closely with front office, trading, and product teams to ensure regulatory and conduct risks are effectively managed, while enabling the business to deliver sophisticated market-facing solutions across derivatives, FX, equities, and digital assets.
What you’ll be doing
- Advisory & Challenge – Provide expert Line 2 advice on institutional products, trading activity, and client solutions, including new product launches, market expansion, and complex distribution models.
- Product & Market Oversight – Assess regulatory implications across wholesale markets (e.g. MiFID II, EMIR, MAR), ensuring robust governance and controls are in place.
- Front Office Partnership – Work closely with trading desks and business leaders to support commercial initiatives while maintaining strong market conduct and regulatory standards.
- Risk & Escalation – Act as a key escalation point for significant compliance and conduct matters, including market abuse, conflicts of interest, and client categorisation.
- Thematic Insight – Identify emerging risks across institutional business lines and provide clear, actionable insights to senior stakeholders.
- Frameworks & Controls – Support the development and embedding of compliance frameworks tailored to wholesale and institutional activities.
- Regulatory Engagement – Contribute to regulatory interactions and internal governance relating to trading and institutional client services.
What we’re looking for
- 8–10 years’ experience in compliance advisory within institutional / wholesale financial markets
- Strong knowledge of trading products such as derivatives, FX, equities, and structured products
- Deep understanding of UK and European regulatory frameworks (e.g. MiFID II, MAR, EMIR)
- Experience supporting front office or trading environments
- Proven ability to manage complex regulatory issues and provide credible challenge to senior stakeholders
- A commercial mindset with the ability to balance risk management and business growth
Why join?
- Work at the heart of a global, multi-asset trading business
- Influence strategy across institutional products and market-facing activities
- Partner directly with front office and senior leadership
- Be part of a collaborative, high-performing team where compliance is seen as a strategic enabler, not a blocker
What success looks like
- Effective management of compliance and conduct risks across institutional products and clients
- High-quality, pragmatic advice supporting complex trading and market activity
- Strong oversight and resolution of regulatory issues
- Trusted partnerships with front office, risk, and senior stakeholders
Job Overview
Category: Compliance | Governance
Offered Salary: £120k - 140k per year
Job Location: London, Greater London, England
Job Type: Permanent
If you’re looking to step into a role with real breadth, visibility, and impact across institutional markets, this is a strong opportunity to do so.
For more information, contact [Employer hidden — sign up to reveal] via email at [Employer hidden — sign up to reveal] or visit [Employer hidden — sign up to reveal].com.