Compliance Adviser

City of London
£50000 - £70000 per annum
29 Jan 2013
26 Feb 2013
Ryan Graham
Contract Type
Full Time

A market leading provider of financial services and products has a new vacancy within it's Compliance department inLondon. This firm specialises in both buy and sell side strategies and they require a new Compliance Advisor to provide and advisory services to the derivative broking desks. This is an excellent opportunity for an experienced Compliance professional with OTC commodities and energy experience and would relish taking an advisory role at a high performance firm.

As an Advisor, your responsibilities will include:

  • Provide relevant advice and guidance on the impact of regulatory changes and assist in implementation
  • Ensure practical implementation of, exchange rules, regulatory rules and industry codes of practice
  • Coaching and advising on specific elements of compliance policy/best practice
  • Contribute to the effective management and governance of the EMEA businesses
  • To maintain and foster a close relationship with the business senior management and desk heads to ensure a two-way flow of information to foster compliance culture
Key/skills required:

  • Experience of Match Principle - Name Give Up essential
  • Experience of MTFs and Dodd Frank legislation desirable
  • Experience of Cross boarder compliance - EMAE -Asia- US essential
  • Energy experience desired
  • Previous experience influencing senior managers, building strong commercial relationships and driving a business aligned compliance strategy in a global organisation.
  • Previous experience of working in an operational Compliance role, managing key Compliance operational components
  • Able to demonstrate effective results-focussed Compliance interventions across a global, complex organisational structure

Location: City ofLondon

Salary: £55 - £70,000

If you are an experienced compliance professional that has worked it either an IB, exchange or broker firm, and wish to join an internationally recognised FS provider; please send your CV to me for consideration

To find out more about Real please visit

Similar jobs

Similar jobs