MERJE
Senior Compliance Advisor - Institutional
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MERJE is partnering with a leading global trading and investment business to appoint a Compliance Advisory Manager supporting its institutional and professional client offering.
Reporting to the Head of Compliance Advisory, you’ll take a lead role in providing second-line advice and challenge to the Prime business. Working closely with trading teams and senior stakeholders, you’ll help navigate regulatory complexity, support commercial initiatives and ensure compliance considerations are embedded in business decisions.
This is an opportunity for someone who enjoys taking ownership, building credibility with the front office and delivering clear, practical advice in a fast-paced trading environment.
Your responsibilities
- Lead compliance advisory support for the Prime business, acting as the principal point of contact for institutional and professional client matters and managing both daily queries and more complex regulatory issues.
- Partner closely with trading desk heads and business stakeholders, providing constructive challenge and helping them make informed decisions within the firm’s regulatory obligations and risk appetite.
- Support new products, trading platforms and business change, assessing proposals, identifying regulatory implications and influencing the design of appropriate controls before launch.
- Advise across the client lifecycle, including institutional and professional client categorisation, onboarding and applicable conduct-of-business requirements.
- Review and approve financial promotions and client communications, ensuring institutional marketing materials meet relevant regulatory standards.
- Interpret regulatory developments, assessing their impact on the institutional business and translating requirements into practical actions.
- Undertake thematic reviews and regulatory projects, identifying areas for improvement and working with stakeholders to address them.
- Maintain clear evidence of compliance oversight, including advice, approvals and project sign-offs, while coaching business colleagues to strengthen their understanding of regulatory responsibilities.
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You’ll bring
8-12 years’ relevant compliance experience, including substantial exposure to advising a prime brokerage, institutional trading or professional client/DMA desk.
We’re particularly interested in candidates who can demonstrate:
- Direct front-office advisory experience, with a track record of supporting trading desks and handling time-sensitive queries confidently.
- A strong understanding of institutional business models, professional client relationships and the regulatory considerations associated with trading and investment products.
- Practical knowledge of COBS, CASS, MAR, MiFID II and EMIR ReFIT, with the ability to explain how relevant requirements affect business activity.
- Experience advising on client categorisation, onboarding and conduct obligations within an institutional or professional client environment.
- Involvement in product launches, platform developments or regulatory change, providing compliance input from initial proposal through to implementation.
- Experience reviewing financial promotions and communications, ideally for institutional audiences.
- Strong stakeholder management and sound judgement, including the confidence to challenge senior colleagues and propose workable solutions.
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A background in institutional brokerage, prime services or a comparable trading business would be particularly relevant. You’ll be comfortable balancing an active advisory workload with longer-term projects and taking responsibility for the quality and clarity of your advice.
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