Responsibilities / Accountabilities Provide a proactive and expert advisory service to all areas of the organisation regarding regulatory matters. Providing advice to Corporate Finance, Corporate Broking, Institutional Sales, Trading, Research and M&A amongst others. Ongoing responsibility for operating the Control Room tasks, such as wallcrossings, conflicts of interest, identification and management of inside and confidential information. Policy updating and communication. Contribute to second line monitoring activity Contribute to ongoing trade surveillance and the submission of STORs. Working with the Head of Compliance to manage Compliance Projects in relation to regulatory matters, identify compliance training needs and oversee effectiveness of regulatory control framework. Advise and assist the firm carrying out regulated activities to comply with egulatory obligations including but not limited to FCA rules, AIM rules, JMLSG Guidelines, Takeover Code, Companies Act, Listing Rules, Disclosure and Transparency Rules, Prospectus Rules, etc. Undertake regulatory investigations, information requests, etc. Arrange and provide employees with training/inductions with respect to FCA and other requirements. Required Expertise Significant regulatory compliance experience within the investment banking / broking sector Experience of providing advice on Compliance matters and Control Room operation. Detailed knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR, LR, DTR, PR Good knowledge of associated statutory legislation including UK Money Laundering Regulations, Market Abuse Regulations, Bribery Act etc Sound knowledge of AIM Rules for Companies and AIM Rules for NOMADs, Rules of LSE and any other applicable markets Knowledge of the Takeover Code specifically R8 Excellent communication skills Accuracy and attention to detail Highly organised Strong team player Confident, professional and reliable Able to work under pressure and multi-task