Compliance Advisor

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.

• 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.

Candidate profile - 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.

One reason for the long-term success of our business is the importance we place on being principled It is this belief that drives both the way we work with our clients and the way we hire, manage and develop our people - and we look for the same qualities from them in return Our teams reflect the diverse needs of our clients, businesses and the markets we operate in around the world. We value, and seek to maintain, an eclectic mix of skills and backgrounds - encouraging everyone to come together to share their perspectives for the good of each other, the business and our clients