Senior Markets Compliance Advisor
Added 1 Sept · still live
Not disclosed
Salary
Not disclosed by employer
£48,200
Going rate
Skilled Worker going rate
This role likely qualifies for a Skilled Worker visa
SOC 2482 (90% match) is an eligible occupation, with a going rate of £48,200, and Rothschild & Co is a licensed sponsor. That is our reading of the rules. Whether they issue a Certificate of Sponsorship is still their call.
About the role
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
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
- 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.
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.
- 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.
- 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.
This description is the source posting as it read when we added it. We are not affiliated with Rothschild & Co, so check their own site for the current details.
Where this offer sits in the market
SOC 2482 · UK · ONS ASHE 2025 · ~137k in sampleP25 £40kP75 £66k
£33kmedian £50kgoing rate £48k£84k
Similar sponsored roles
See all UK visa jobsNo close matches live right now.
Browse more sponsored jobs at Rothschild & CoAbout sponsorship for this role
Does this job guarantee visa sponsorship?
Not necessarily. Rothschild & Co holds a sponsor licence, but sponsorship for a specific hire is always the employer's decision. Be upfront in your application that you'll require it.
What salary is needed for this role to be eligible?
The offer must clear both the general threshold and the SOC 2482 going rate of £48,200. New-entrant and shortage discounts can lower it.