We seek a good advisory candidate from capital markets with solid MIFID knowledge to help with the below:-
Business Advisory
- Act as a trusted compliance partner to front office and operational teams across the EMEA region
- Provide guidance on regulatory implications of new products, strategic initiatives, and evolving rules
- Interpret and apply trading venue regulations, transparency requirements, and reporting obligations across UK and EU frameworks
Regulatory Issues & Investigations
- Oversee the handling of compliance incidents and regulatory matters from initial assessment through to resolution
- Determine reporting obligations, prepare submissions, and ensure appropriate follow-up actions
- Conduct reviews into potential breaches and escalate significant findings with clear recommendations
Regulator Interaction
- Support ongoing relationships with European and international regulatory bodies
- Coordinate responses to regulatory enquiries, thematic reviews, and supervisory engagement
- Assist with preparation for regulatory inspections and industry communications
Governance & Reporting
- Produce clear and concise reporting for senior management and governance forums
- Maintain risk assessments and contribute to the firm’s compliance framework
- Work alongside monitoring teams to track findings and remediation activity
Training & Cross-Functional Support
- Deliver compliance training tailored to business needs
- Contribute to licensing processes and regulatory applications
- Provide input on financial crime controls and onboarding processes
- Partner closely with global compliance colleagues on cross-border matters