Compliance Manager Jobs

About The Position

Requirements

• Significant compliance advisory experience within wholesale financial markets, with expertise across credit and equity products, including listed equity derivatives.
• Strong understanding of interdealer brokerage and agency execution models, electronic trading platforms, and related market infrastructure.
• Significant knowledge of either US SEC requirements, including Alternative Trading System regulations, or US SFC requirements, plus sound working knowledge of the other jurisdiction and broad understanding of US securities regulatory frameworks.
• Strong understanding of securities market structure, trading venue regulation, execution models, and regulatory developments affecting wholesale financial markets.
• Demonstrated experience advising on compliance matters relating to new products, business initiatives, trading workflows, and regulatory change initiatives.
• Ability to assess complex regulatory issues and provide pragmatic, risk-based solutions that support commercial objectives while maintaining regulatory compliance.
• Proven ability to build credibility with and influence senior business stakeholders across front office, Compliance, Legal, Risk, and Operations.
• Excellent stakeholder management skills and ability to adapt communication and engagement style across seniority levels, functions, and regions.

Nice To Haves

• Ability to manage multiple priorities and deliver high-quality outcomes against tight deadlines in a fast-paced environment.
• Strong written and verbal communication skills, including the ability to communicate complex regulatory requirements clearly and concisely.
• Collaborative team player with experience working across global and regional teams to deliver consistent regulatory outcomes.

Responsibilities

• Provide expert oversight and support to global businesses as part of the Securities & Venues Advisory team.
• Advise and constructively challenge Business Heads on business strategy from regulatory and conduct perspectives.
• Serve as a primary point of contact for senior front office stakeholders, delivering trusted, outcome-based regulatory advice.
• Help design and deliver global thematic training programmes to strengthen regulatory awareness and compliance culture.
• Review and advise on change management initiatives, including new product approvals, new broking models, and expansion into new jurisdictions.
• Support global strategic initiatives, including potential acquisitions, by contributing Compliance input to due diligence and implementation planning.
• Represent Compliance at senior business and governance forums, influencing decisions and promoting appropriate risk management.
• Work with regional Compliance and Regulatory teams to assess and coordinate the global impact of upcoming regulatory developments.
• Advise on compliance implications of new products, solutions, execution workflows, and market structure developments to ensure alignment with applicable regulatory and venue requirements.
• Provide specialist input to desk reviews and the management of complex investigations, and support consistent application of global policies and standards.