Cisi qualification Work, Jobs in London, Eng (with Salaries)

Compliance Advisor
Rothschild & Co —London
- Full-time
5d
Compliance Risk Lead
Selina Finance —London
- £60,000 a year
- Full-time
- Hybrid work
- Annual leave
Quick apply
Financial Advisor
Prestige IFA Jobs —London
- £25,836.56 - £107,551.92 a year
- Full-time
- CRM software
- Business development
- Financial services
Quick apply
1d
Business Development Manager
Convera —London
- Salesforce
- English
- Master's degree
Quick apply
6d
Compliance & Risk Analyst
MABILLA ENERGY & METALS LTD —Harlow
- £38,100 - £48,200 a year
- Full-time
- Bachelor's degree
- Financial services
- Free parking
- Health & wellbeing programme
Quick apply
Compliance Monitoring Officer - Thematic Reviews
Seven Investment Management —London
- Microsoft Powerpoint
- Computer literacy
- Financial services
- Annual leave
5d
Business Analyst (Energy & Metals Trading)
MABILLA ENERGY & METALS LTD —Harlow
- £36,000 - £50,200 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Data analysis skills
- Master's degree
- Free parking
Quick apply
Compliance Monitoring Officer - Thematic Reviews
7IM —London
- Microsoft Powerpoint
- Computer literacy
- Financial services
- Annual leave
5d
Associate Manager, Premium & Wealth
Coinbase —London
- £71,600 a year
- AI
- Leadership
12d
Business Development Executive
Skybound Wealth Management —London
- £24,000 - £28,000 a year
- Hybrid work
- Business development
- Communication skills
5d
Private Banker – Charities & Not-for-Profits
Barclays —London
- Business development
- Mentoring
- Banking
12d
Senior Investment Spokesperson
AJ Bell —London
- Part-time
- Hybrid work
- Presentation skills
- Organisational skills
- Communication skills
- Employee assistance programme
- Gym membership
Quick apply
4d
Portfolio Manager - London
Atomos —London
- Hybrid work
- Business development
- Communication skills
4d
Practice Intelligence Consultant
Charles Stanley —London
- Full-time
- Microsoft Powerpoint
- Research
- Databases
Strategic Partnerships Manager
Triple Point —London
- CRM software
- Business development
- Analysis skills
Senior Vice President - Institutional Equities
StoneX Group —London
- Full-time
- Business development
12d
Product Manager, Investments
AJ Bell —London
- Full-time
- Hybrid work
- Product management
- Financial services
- Communication skills
- Employee assistance programme
Quick apply
Director, Regulatory Consulting
Kroll —London
- Full-time
- Microsoft Powerpoint
- Management
- Business development
11d
Sr. Enterprise Sales Enginee
Addepar —London
- Sales
- System design
- Master's degree
Quick apply

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Compliance Risk Lead
Selina Finance —London
Deliver compliance training across the business, creating engaging material on topics such as fraud and vulnerable customers.
£60,000 a year
Quick apply
Quality Assurance & CQC Compliance Lead
Jewish Care —Barnet
A relevant professional qualification in health and social care, quality management, clinical governance, risk management, or a related discipline is essential.
£72,500 a year
14d

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cisi qualification jobs near london, eng

Compliance Advisor

Rothschild & Co -
London

Apply Now

Job details

Full-time
5 days ago

Qualifications

Financial Conduct Authority guidelines
Organisational compliance experience
Financial compliance & regulatory experience
Corporate regulatory compliance oversight

Full job description

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.

Role

Senior second-line Compliance Officer providing regulatory advisory and oversight across the Equities business — covering both execution (sales & trading) and research. Partners with the front office and senior management to manage conduct risk and meet FCA and SMCR obligations.

Key responsibilities

Advise execution desks on market abuse (MAR), best execution, order handling, inducements, and MiFID II transaction reporting; oversee trade and communications surveillance.

Advise the research function on independence, conflicts, inducements, and distribution/disclosure controls.

Manage conflicts of interest, information barriers, wall-crossing, and control of inside information.

Support the SMCR framework (Statements of Responsibilities, certification, fitness & propriety, conduct rules) and contribute to governance committees and reporting.

Maintain compliance policies.

contribute to risk assessment and monitoring plan.

Manage regulatory interactions, assess regulatory change, and support client classification and financial promotions approval.

Candidate profile

Essential

Significant compliance experience in an FCA-regulated equities business, covering both execution and research .

Strong knowledge of the FCA Handbook, MiFID II/MiFIR, and MAR.

Demonstrable experience supporting SMCR and governance arrangements.

Track record advising and influencing senior front-office stakeholders.

Desirable

Experience with surveillance, conflicts, and information barriers.

Relevant qualification (ICA / CISI Diploma or equivalent).

Competencies

Strong technical regulatory expertise with commercial awareness; excellent stakeholder management; high integrity and sound, defensible judgement; able to operate autonomously at a senior level.

Apply Now

Refine Your Search

cisi qualification jobs in london, eng

Compliance Advisor

Compliance Risk Lead

Financial Advisor

Business Development Manager

Compliance & Risk Analyst

Compliance Monitoring Officer - Thematic Reviews

Business Analyst (Energy & Metals Trading)

Compliance Monitoring Officer - Thematic Reviews

Associate Manager, Premium & Wealth

Business Development Executive

Private Banker – Charities & Not-for-Profits

Senior Investment Spokesperson

Portfolio Manager - London

Practice Intelligence Consultant

Strategic Partnerships Manager

Senior Vice President - Institutional Equities

Product Manager, Investments

Director, Regulatory Consulting

Sr. Enterprise Sales Enginee

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