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Compliance Advisory

Barclay Simpson
London, United Kingdom
Closing date
1 Mar 2024

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Employer Sector
Financial Services
Contract Type
Full Time
Job Type
Advisory, Compliance, Compliance & Regulation

Job Details

My client is a global financial services firm.

Role Overview: My client is seeking a Markets Advisory Compliance Officer to provide second-line oversight of the Capital Markets Business activities across the group, focusing on Equities, Rates, FX, Credit, Financial Futures & Options, and Listed Derivatives. This role involves offering clear and timely regulatory advice, supporting business initiatives, promoting a compliance culture, and acting as the Compliance lead on listed derivative exchange-related enquiries.

Key Responsibilities:

  • Deliver second-line oversight of Capital Markets Business activities, ensuring compliance with regulatory requirements and internal policies.
  • Provide clear and timely regulatory advice to business stakeholders, supporting initiatives and fostering a compliance culture.
  • Act as the Compliance lead on listed derivative exchange-related enquiries, liaising with business groups to gather relevant information and manage responses.
  • Ensure timely identification of regulatory changes affecting business groups, collaborating across Support Functions and the Business to implement new regulations.
  • Deliver ongoing compliance support to relevant business groups, advising on the application of global compliance policies, exchange rules, and regulations.
  • Identify regulatory or reputational risks and escalate to management for resolution.
  • Support compliance team members in conducting timely compliance reviews and approving new Business-specific initiatives.
  • Work with Legal, Compliance colleagues, and other support function staff to address cross-jurisdictional compliance matters.
  • Provide SME support to Compliance Assurance colleagues, participating in the annual Compliance Risk Assessment process and execution of assurance activities.
  • Design, drive, and deliver specific desk-based thematic reviews to assess compliance effectiveness.
  • Act as a challenge and control function to the Business on compliance-related matters, including the Business-owned Risk & Control Assessment.
  • Participate in the development and delivery of the annual regulatory training plan for the Business, as well as ad hoc trainings.
  • Provide Compliance input to control and regulatory incidents, internal audits, and reviews within the Business.

Qualifications and Skills:

  • Bachelor's degree in Finance, Business Administration, Law, or related field. Advanced degree or relevant professional certification preferred.
  • 5 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
  • Strong understanding of regulatory requirements and best practices related to capital markets.
  • Excellent communication, interpersonal, and stakeholder management skills.
  • Proven ability to identify and mitigate compliance risks effectively.
  • Collaborative mindset with the ability to work across teams and functions.
  • Strong organizational skills with the ability to manage multiple priorities.
  • Proficiency in Microsoft Office Suite and compliance-related software applications.


  • £120,000 salary and comprehensive benefits package.
  • Opportunities for professional development and career advancement.
  • Hybrid working 3 days in the office
  • Dynamic and inclusive work environment with a focus on collaboration and innovation.

Please contact with your CV for more information.


Barclay Simpson is the leading international company in internal audit and corporate governance recruitment. We have offices in London and New York and recruit regionally for the UK, Europe, the Middle East and North America.

We handle both permanent and interim appointments in the following fields:

  • Internal & IT Audit
  • Risk Management
  • Compliance
  • Cyber Security
  • Corporate Security and Resilience
  • Financial Crime
  • Legal
  • Treasury

With our team of highly experienced internal audit recruitment consultants we are able to offer an unrivalled level of expertise to help internal auditors to build their careers.  Each team member is dedicated to specific internal audit disciplines, industry sectors and geographies so enabling them to offer an expert insight into the market, potential opportunities and career guidance.

Our clients cover all sectors of the economy, including banking and financial services, asset management, insurance, commerce and industry, professional services and not for profit. They value our service because we understand their business and through the high level of continuity of our consultants they have built long term relationships with us.

We are equally committed to building long-term relationships with our candidates, many of whom become clients, by providing sound career advice, based on our detailed knowledge of the unique nature of internal audit and corporate governance and what it takes to succeed within it.

Company info
Barclay Simpson
+44 (0) 20 7936 2601
Third Floor
20 Farringdon Street
United Kingdom

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