Senior Compliance Officer (Investment Banking Compliance)

Overview

In this role you will guide compliance for the Trading and Equities functions, ensuring regulatory alignment and strengthening the control framework. You will collaborate across front, middle and back offices and with international Compliance teams. You’ll conduct risk assessments, monitor activities, and lead investigations where needed. You’ll develop policies, contribute to projects, and deliver targeted training to sustain a compliant, proactive trading environment. This position offers a hands-on, cross-border role with meaningful front-line impact.

Pay / Benefits

• Private pension plan
• 30 day holiday allowance
• Private health insurance
• Life insurance
• Flexible working hours
• Enhanced parental leave policies

Responsibilities

• Provide compliance advice to Trading and Equities teams and engage stakeholders across front, middle, and back office.
• Conduct risk assessments and planning to ensure regulatory adherence and improve the control framework.
• Perform trade surveillance, compliance monitoring, and ad hoc investigations.
• Develop and update policies and procedures, contribute to projects, and deliver trainings.
• Collaborate with Compliance colleagues across Hamburg, Frankfurt, London, and the US subsidiary.

Key requirements

• At least five years’ experience in markets compliance or a comparable role
• Strong knowledge of UK/European securities regulations (MiFID II, MAR)
• Trade surveillance experience is an advantage
• Analytical and strategic thinking with process-improvement focus
• Ability to work independently and collaboratively across borders with strong prioritisation under pressure
• Excellent written, verbal, and presentation skills with in-office stakeholder engagement

• relationship building
• initiative
• communication
• trade surveillance
• regulatory compliance knowledge (MiFID II, MAR)
• risk assessments

…