About this role
THE COMPANY
Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.
THE RESPONSIBILITIES
- Compliance Advisory duties
- Review/audit/investigation requests from Exchanges and Regulators
- FATCA and CRS Audit and Advisory; ad hoc tax projects
- Research in relation to keeping up to date on financial regulatory developments
- Monitoring and problem solving with regards to MiFIR transaction reporting
- Monitoring and problem solving with regards to EMIR reporting
- Maintaining accurate records and data in conjunction with regulatory reporting
- Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304)
- To conduct assigned sections of the firms Compliance Monitoring Progra
- Annual and ad hoc Information Requests from Exchanges and other bodies
- Compliance KYC Audits and other Compliance related audits
- To conduct assigned sections of the firms Compliance Monitoring Program
- ISDA Master Agreements, TPAs and other legal documents
- CASS Compliance Monitoring and Advisory support
EXPERIENCE REQUIRED
- Must be able to work 4 days per week in the office
- Generalist compliance Advisory and regulatory experience (NOT KYC) ideally from a Brokerage and commodities trading firm
- Understanding and previous involvement with EMIR and MiFIR Transaction Reporting
- Knowledge and experience of UnaVista and Transaction/Regulatory reporting (desirable)
For further information please contact Hannah Tabatabai
About compliance & regulatory roles for ex-police
Compliance, AML and regulatory roles. Working to PACE, RIPA and CPIA is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.
See all compliance & regulatory jobs in London →Why this fits a police background — match score 75/100
- Investigative casework
- Working to legislation & regulation
What compliance & regulatory roles pay ex-police
Advertised UK ranges, editorial estimates reviewed July 2026
| Compliance analyst | £32,000–£42,000 |
| Compliance / AML officer | £40,000–£55,000 |
| Compliance manager | £55,000–£80,000 |
| Senior manager / head of compliance | £80,000–£120,000+ |