Senior Markets Compliance Advisor
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What you'll do
- Advise execution desks on market abuse (MAR), best execution, order handling, inducements, and MiFID II transaction reporting; oversee trade and communications surveillance.
- Advise the research function on independence, conflicts, inducements, and distribution/disclosure controls.
- Manage conflicts of interest, information barriers, wall-crossing, and control of inside information.
- Support the SMCR framework (Statements of Responsibilities, certification, fitness & propriety, conduct rules) and contribute to governance committees and reporting.
- Maintain compliance policies.
- contribute to risk assessment and monitoring plan.
- Manage regulatory interactions, assess regulatory change, and support client classification and financial promotions approval.
What they're looking for
- Significant compliance experience in an FCA-regulated equities business, covering both execution and research.
- Strong knowledge of the FCA Handbook, MiFID II/MiFIR, and MAR.
- Demonstrable experience supporting SMCR and governance arrangements.
- Track record advising and influencing senior front-office stakeholders.
Nice to have
- Experience with surveillance, conflicts, and information barriers.
- Relevant qualification (ICA / CISI Diploma or equivalent).
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
About Us
Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.
Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.
We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.
As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.
Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.
Role
Senior second-line Compliance Officer providing regulatory advisory and oversight across the Equities business — covering both execution (sales & trading) and research. Partners with the front office and senior management to manage conduct risk and meet FCA and SMCR obligations.
Key responsibilities
- Advise execution desks on market abuse (MAR), best execution, order handling, inducements, and MiFID II transaction reporting; oversee trade and communications surveillance.
- Advise the research function on independence, conflicts, inducements, and distribution/disclosure controls.
- Manage conflicts of interest, information barriers, wall-crossing, and control of inside information.
- Support the SMCR framework (Statements of Responsibilities, certification, fitness & propriety, conduct rules) and contribute to governance committees and reporting.
- Maintain compliance policies.
- contribute to risk assessment and monitoring plan.
- Manage regulatory interactions, assess regulatory change, and support client classification and financial promotions approval.
Candidate profile
Essential
- Significant compliance experience in an FCA-regulated equities business, covering both execution and research .
- Strong knowledge of the FCA Handbook, MiFID II/MiFIR, and MAR.
- Demonstrable experience supporting SMCR and governance arrangements.
- Track record advising and influencing senior front-office stakeholders.
Desirable
- Experience with surveillance, conflicts, and information barriers.
- Relevant qualification (ICA / CISI Diploma or equivalent).
Competencies
Strong technical regulatory expertise with commercial awareness; excellent stakeholder management; high integrity and sound, defensible judgement; able to operate autonomously at a senior level.
Company
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