Compliance Advisory Manager (Fintech)

TL;DR

Compliance Advisory Manager (Fintech): Providing expert regulatory guidance and oversight for the Prime institutional business with an accent on FCA rules, COBS, CASS, and MiFID II compliance. Focus on partnering with trading desks to balance commercial objectives with risk management while ensuring regulatory standards are met in a fast-paced environment.

Location: Must be based in London, UK (Hybrid: minimum 3 days per week in office)

Company

A FTSE 100 fintech company serving over 1.3 million customers globally with a focus on scale, trust, and innovation.

What you will do

• Act as the primary compliance advisory contact for the Prime team, providing timely and risk-proportionate regulatory advice.
• Review and approve financial promotions to ensure they are fair, clear, and compliant with regulatory standards.
• Provide compliance input into new product development and change initiatives to identify and mitigate risks early.
• Advise on regulatory treatment of institutional client activity, including onboarding and conduct-of-business requirements.
• Monitor regulatory developments and translate changes into actionable guidance for the business.
• Build strong relationships with Prime desk heads to embed compliance as a trusted partner.

Requirements

• 5–8 years of compliance experience within financial services, specifically advising Prime, institutional, or professional client desks.
• Strong technical expertise in FCA rules, COBS, CASS, MAR, MiFID II, and EMIR ReFIT.
• Experience working with trading desks in fast-paced environments with tight delivery timelines.
• Bachelor's degree in Law, Business, Finance, Economics, or a related field.
• Must be comfortable working from the London office a minimum of three days per week.

Culture & Benefits

• Opportunity to work in a FTSE 100 environment with complex, high-impact problems.
• Focus on outcomes rather than activity, fostering a culture of accountability and urgency.
• Commitment to diversity and inclusion with a focus on global success.
• Development and growth opportunities within a large-scale, established fintech organization.