Compliance Advisory Partner

City of London
07 Nov 2012
05 Dec 2012
Ryan Graham
Contract Type
Full Time

Compliance Advisory Partner -London

A leading financial institution in the city is seeking a Compliance Advisory Partner within its successfully growing team. The firm offer a broad range of products and services such as equities, fixed income, derivatives, commodities, FX and spread betting across trading exchanges such as the LIFFE, LSE and ICE. This is a fantastic opportunity for a compliance professional to advance their career providing advice, guidance and direction on regulatory matters across the firm.


  • Assess the impact of regulatory change on specific business areas, products and processes.
  • Deal with queries from clients of the front office and relevant support functions in respect of the Firm's compliance arrangements.
  • Participate in business change and the new product approval processes as the compliance representative.
  • Provide ongoing advice to the business and resolve daily issues in relation to compliance and regulation including financial crime and exchange rules.
  • Validate whether new joiners or employees who change roles internally require FSA approval.
  • Ensure breaches are identified, escalated and mitigating activities agreed.
  • Investigate complaints and agree conclusions with Head of Compliance and the business.


  • 6+ years experience of working in a Compliance team within a large corporate environment.
  • In-depth understanding of the FSA handbooks and other relevant regulations, and the ability to apply this knowledge in a commercial environment.
  • An excellent and in-depth working knowledge of a wide range of products and services including but not limited to equities, fixed income, derivatives, commodities, FX and spread betting across all asset classes for all client types.
  • Knowledge of trading exchanges advantageous (e.g. LIFFE, LSE, ICE etc.)
  • Appropriate professional/industry qualification.
  • Experience of working with Senior Management and regulatory bodies is required.


Salary: £100,000 - £110,000

This is an exciting opportunity to join a highly successful company with a strong global presence and reputation. In addition, you will receive an industry leading package and have the potential to progress your career rapidly.

Applications are open now so apply online or call Ryan Graham on 0207 398 3600 for more details.

To find out more about Real Staffing please visit

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