Rothschild & Co
Senior Markets Compliance Advisor
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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.
Senior Markets Compliance Officer
Senior second-line Compliance Officer providing trusted regulatory advice, challenge and oversight across the Markets business. Acts as a key partner to front-office management and senior leadership, supporting the firm's strategic objectives while ensuring compliance with regulatory requirements, market standards and conduct risk expectations. Responsible for promoting a strong compliance culture and providing robust, commercially focused regulatory guidance across the business.
Key Responsibilities
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- Provide expert regulatory advice to the Markets business on FCA requirements, MiFID II/MiFIR, Market Abuse Regulation (MAR), Conduct of Business rules, client categorisation, best execution, order handling, inducements and conflicts of interest.
- Advise on complex transactions, new business initiatives, products and strategic projects, assessing regulatory implications and identifying practical solutions.
- Act as the primary Compliance contact for exchange and trading venue rules, market structure developments and related regulatory obligations.
- Maintain and enhance compliance policies, procedures and frameworks to reflect regulatory developments and evolving business activities.
- Lead compliance risk assessments and thematic reviews as relevant to the Markets business.
- Contributing to the development and execution of the Compliance Monitoring Programme.
- Assess and implement regulatory change, ensuring the business remains compliant with evolving FCA, exchange and market requirements.
- Manage and support regulatory interactions, enquiries and thematic reviews, including engagement with the FCA and relevant exchanges or market authorities.
- Deliver training and awareness initiatives to promote a strong culture of compliance and accountability across the Markets business.
- Produce management information, regulatory reporting and governance materials for senior management and committees.
Candidate Profile
Essential
- Significant Compliance experience within an FCA-regulated equities, capital markets or investment banking environment.
- Strong technical knowledge of FCA regulation, MiFID II/MiFIR, MAR, COBS and market conduct requirements.
- Demonstrable experience advising Sales, Trading, Execution businesses on complex regulatory matters.
- Proven track record of influencing and challenging senior front-office stakeholders while maintaining strong commercial relationships.
- Experience supporting regulatory change initiatives and interpreting new regulatory requirements.
- Strong understanding of governance frameworks, risk management and SMCR obligations.
- Excellent written and verbal communication skills, with the ability to explain complex regulatory issues clearly and pragmatically.
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Desirable
- Experience of market abuse surveillance, trade surveillance and electronic communications monitoring.
- Familiarity with exchange rules and trading venue requirements.
- Experience managing FCA interactions, regulatory reviews or enforcement-related enquiries.
- ICA Diploma, CISI Diploma, Law Degree or equivalent professional qualification.
Competencies
- Exceptional regulatory and technical expertise.
- Strong commercial judgement and pragmatic problem-solving skills.
- Credibility and confidence when engaging with senior management and front-office stakeholders.
- High level of integrity, independence and professional scepticism.
- Sound risk-based decision making and defensible judgement.
- Strong organisational and prioritisation skills, with the ability to manage competing demands.
- Collaborative approach with the ability to influence outcomes without direct authority.
- Ability to work autonomously in a fast-paced and evolving markets environment.
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