Description

The Role

We are representing a leading Trading Venue seeking a Senior Compliance Officer to provide first‑line compliance advisory support across EMEA, with secondary coverage for APAC during European hours.

Reporting to the CCO for EMEA & APAC, the role sits at the heart of the firm's regulatory and business advisory model. You will work closely with Legal, Regulatory Affairs, and regional Compliance teams, supporting the management of regulatory risk while enabling growth across a complex, multi‑jurisdictional market infrastructure.

Key Responsibilities

Advisory

• Act as a senior compliance contact for the business across EMEA
• Advise on regulatory change, new initiatives, and product launches
• Provide commercially focused guidance on venue rulebooks, transparency regimes, DRSP obligations, and the interaction between MiFID II / MiFIR and EMIR (UK and EU)

Incident Management

• Lead day‑to‑day regulatory issues and incidents, including assessments, notifications, and remediation
• Investigate potential breaches and escalate material issues with clear recommendations

Regulatory Engagement

• Support regulatory relationships with the FCA, AFM, ESMA, and other European regulators
• Prepare for supervisory reviews, draft responses to information requests, and manage Dear CEO and priority responses

Governance & Reporting

• Draft Board and senior management compliance reporting
• Maintain compliance risk assessments and SMF16/17 reporting
• Partner with Compliance Monitoring on findings and remediation

Training, Licensing & Coordination

• Design and deliver compliance training
• Manage licence applications and variations
• Coordinate cross‑regional compliance matters and support financial crime and MLRO reporting

Experience Required

• 8+ years' experience in wholesale financial markets, including senior compliance advisory roles
• Strong knowledge of MiFID II / MiFIR (UK & EU), including trading venue obligations, DRSPs, and non‑equity transparency
• Experience advising across UK and EU regimes, including regulatory divergence
• Confident communicator with regulators and senior stakeholders
• People management experience
• Right to work in the UK without sponsorship

Preferred Background

• Experience within, or closely aligned to, a regulated Trading Venue, MTF, exchange, or market infrastructure provider
• Understanding of the trading venue perimeter (UK RAO 25(1)/(2) and EU MiFID II framework)
• EMIR / UK EMIR knowledge
• Experience engaging with ESMA, AFM, or another EU NCA
• Working knowledge of financial crime risk frameworks