Compliance Advisory Officer

Role Overview

The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to ensure the group continues to meet all applicable regulatory requirements, protect the group and its staff from regulatory sanction, and maintain its reputation as an IDB that acts with honesty, integrity, respect and excellence.

Role Responsibilities

• Support the Compliance Manager in driving the Compliance function's strategy, culture, and advisory activities.
• Deliver practical, risk‑based regulatory advice to the business across Conduct, Markets, and Wholesale Financial Services regulations.
• Act as a trusted advisor and primary point of contact for day‑to‑day regulatory queries, providing timely and pragmatic guidance.
• Advise on the implementation and ongoing application of MiFIDII/MiFIR and other regulatory developments, assessing business impacts and required actions.
• Support the oversight of TPICAP's European operations to ensure compliance with applicable regulatory requirements.
• Identify emerging regulatory risks and work with stakeholders to implement effective mitigation strategies.
• Partner with Risk, Legal, and other control functions to maintain a coordinated and effective control framework.
• Assist in the design, implementation, enhancement, and embedding of compliance controls, policies, and procedures.
• Support business and functional teams in developing efficient, sustainable operating models and control environments.
• Provide compliance input into strategic initiatives, regulatory projects, business change programmes, and new business activities.
• Track and support the remediation of compliance, audit, regulatory, and control‑related actions.
• Produce and contribute to management information, governance reporting, and regulatory reporting as required.
• Build and maintain strong relationships with senior management, business leaders, regulators, auditors, and key internal stakeholders.
• Represent Compliance at governance forums, committees, and working groups.
• Deliver Compliance training and awareness initiatives across the business.
• Review monitoring outcomes and help ensure timely resolution of identified issues.
• Support compliance oversight across EMEA locations, promoting consistent standards and practices.
• Undertake project work and additional responsibilities as required by the business.
• Travel occasionally within the region as required.

Experience / Competences – Essential

• Significant experience within Compliance, Regulatory Advisory, or Financial Services Regulatory Law.
• Proven ability to provide clear, practical regulatory advice and influence business decision‑making.
• Strong knowledge of MiFIDII/MiFIR and the broader European regulatory framework applicable to wholesale financial markets.
• Experience interpreting regulatory guidance and external legal advice, translating requirements into practical business solutions.
• Demonstrated success in managing complex compliance initiatives and delivering positive stakeholder outcomes.
• Strong understanding of wholesale financial markets, including interdealer broking and market structure.
• Experience identifying regulatory risks and designing proportionate controls and risk mitigation measures.
• Ability to partner effectively with senior stakeholders to implement regulatory and strategic initiatives.