Compliance Analyst - EXCLUSIVE

THE COMPANY:

Our client is an entrepreneurial brokerage firm based in the West end , seeking a keen compliance professional to get involved in a broad range of duties.

THE RESPONSIBILITIES:

• Provide strategic regulatory advice to senior management on market conduct, trading venue obligations, and regulatory risk
• Act as a key contact for regulatory matters, supporting engagement with regulators and ensuring timely responses to enquiries
• Lead regulatory horizon scanning and implementation of change initiatives impacting brokerage and trading activities
• Oversee MiFID II compliance, including transaction reporting, transparency, and instrument reference data
• Support operation and governance of the firm’s OTF, including rulebook interpretation and participant guidance
• Contribute to regulatory reporting oblig...