Options Compliance Specialist

We are looking for a Compliance Specialist to join our Legal and Compliance team in London with experience providing compliance advice on equity derivatives including OTC and exotic options trading as well as EU and UK listed options.

In this role youll act as the dedicated compliance partner for our options desk and be their first point of contact for day-to-day compliance matters. Youll also serve as our firms subject matter expert on the desks activities the compliance risks associated with them and the rules regulations and policies that govern them.

Additional responsibilities of this role will include:

• Drafting and maintaining the compliance policies guidance and procedures that govern the desks activities
• Supporting the desk with advice related to regulatory and policy interpretation as well as serving as an escalation point for compliance-related questions
• Understanding and documenting desk workflows decision-making and other notable events
• Assessing desk activity and advising the desk on control requirements
• Reviewing new flows and implementing compliance frameworks where necessary
• Acting as a liaison between the desk and our centralised compliance functions (e.g. surveillance employee compliance regulatory reporting)
• Conducting targeted risk assessments and periodic risk-based reviews of desk activity

This role sits within our Legal and Compliance team a dedicated group of professionals who share a deep understanding of the law a meticulous commitment to regulatory protocol and a passion for protecting our colleagues as they focus on their daily work.

• Have 8 years of relevant compliance experience at a bank proprietary trading firm hedge fund or exchange with a focus on options or listed derivatives
• Have deep knowledge of options market structure exchange rules and order handling requirements
• Familiar with the UK and EU regulatory landscape (e.g. FCA rules MAR MiFID II) and comfortable thinking about how it applies to a global trading business
• Able to distil complex regulatory topics into clear practical guidance for traders and other colleagues
• Highly organised; a self-starter who can manage projects independently and see them through to completion
• Exercise good judgement and discretion; humble about what you dont know and not afraid to ask questions or admit mistakes
• Curious about the operations of the firm and how your role fits into the bigger picture
• Fluent in English

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