MERJE
Compliance Advisory Manager - Prime Brokerage
Get notified of more jobs like this · No spam, ever
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
MERJE is partnering with a leading global trading and investment business to recruit a Compliance Advisory Manager into its second-line Compliance function.
This is an excellent opportunity for an experienced Compliance professional to work closely with an established institutional and professional client business, providing practical regulatory advice across a sophisticated range of trading products and activities.
The role will act as a key Compliance partner to the institutional trading desk, providing advice and challenge across day-to-day activity as well as new products, regulatory change, and wider strategic initiatives. You'll work closely with senior stakeholders across Trading, Risk, Legal, Finance, and Operations in a fast-paced, commercially focused environment.
Key Responsibilities Include:
- Providing practical, commercially focused regulatory advice to institutional and professional client businesses
- Advising on Prime Brokerage, DMA, and institutional trading activities
- Supporting new product, platform, and business change initiatives from a regulatory perspective
- Advising on client categorisation, onboarding, and conduct of business requirements
- Reviewing and approving financial promotions relating to institutional products
- Providing expertise across COBS, CASS, MAR, MiFID II, and EMIR
- Monitoring regulatory developments and translating these into practical actions for the business
- Undertaking horizon scanning, thematic reviews, and regulatory projects
- Building strong relationships with trading desks and senior stakeholders, operating as a trusted adviser rather than simply a gatekeeper
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
We're looking for someone with:
- Strong Compliance Advisory experience gained within institutional trading, Prime Brokerage, investment banking, brokerage, or a similar markets environment
- Good knowledge of institutional and professional client products and trading activities
- Strong technical knowledge of relevant FCA regulation, particularly COBS, CASS, MAR, MiFID II, and EMIR
- Experience working directly with trading desks and providing advice in a fast-moving environment
- A commercial, solutions-focused approach and the confidence to challenge senior stakeholders constructively
- Ideally 5–8+ years' Compliance experience within financial services
Get help with your application
Your very own career expert that helps elevate your application to the next level.
This would suit someone currently operating at Compliance Manager, Senior Compliance Manager, or VP level who enjoys being close to the business and wants broader ownership of an institutional Compliance Advisory remit within a sophisticated global trading environment.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location