Rev & Regs are recruiting for a Regulatory Counsel / Senior Compliance Officer position working for a leading institutional investments brokerage in London.
Role Overview
A key role supporting the legal and regulatory framework of a growing institutional multi-asset brokerage. You will advise on global regulatory requirements, strengthen compliance systems, and partner with senior leadership to support strategic growth across multiple jurisdictions.
Key Responsibilities
Regulatory Compliance
- Provide advice on UK and global regulatory frameworks (e.g. FSMA, MiFID II, EMIR, FCA rules).
- Monitor regulatory developments and assess business impact.
- Support implementation of compliance frameworks, including AML/CTF, market abuse, best execution, and conflicts of interest.
- Advise on cross-border regulatory requirements across UK, EU, APAC, and Middle East.
Legal
- Draft, review, and negotiate institutional and commercial agreements (e.g. ISDA, prime brokerage, client terms).
- Support legal disputes and liaise with external counsel.
- Ensure legal documentation aligns with regulatory requirements and business objectives.
Governance
- Support corporate governance activities, including board processes and regulatory filings.
- Contribute to risk management and internal control frameworks.
- Work cross-functionally with compliance, risk, and trading teams.
Team Leadership
- Mentor and support junior compliance staff.
- Provide oversight on client onboarding processes (AML/KYC).
- Act as a subject matter expert within the compliance team.
Skills & Experience
Essential Experience
- 5–10 years in financial services regulation, compliance, or financial markets law.
- Strong knowledge of UK/EU regulatory frameworks (FSMA, MiFID II/MiFIR, EMIR, MAR, FCA Handbook).
- Experience working with global regulators (e.g. FCA, ESMA, ASIC, HK SFC).
- Proven experience drafting and negotiating institutional agreements.
- Hands-on experience with compliance monitoring (AML, market abuse, best execution).
- Experience in corporate governance and regulatory reporting.
- Prior experience managing or mentoring junior staff.
Technical Knowledge
- Understanding of institutional trading (FX, CFDs, equities, commodities).
- Knowledge of risk management and regulatory compliance frameworks.
- Familiarity with AML/KYC, onboarding, and sanctions processes.
- Strong legal drafting and analytical skills.
Salary: £80,000-£90,000 pa
Location: City of London, 5 days a week office.