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Investments Compliance Consultant

London | Hybrid Working
£31,000 - £40,000+ plus Bonus plus Benefits

An excellent opportunity for a compliance professional with 2+ years' experience within an FCA-regulated investments business to join a growing consultancy. You'll gain exposure to a wide range of investment firms, regulatory topics and client projects, developing broad compliance expertise whilst working directly with clients.

Key Responsibilities

Deliver compliance support to FCA-regulated investment firmsAssist with Compliance Monitoring Programmes (CMP)Review and draft compliance policies and proceduresSupport FCA applications and regulatory change projectsReview financial promotionsPrepare regulatory reports, MI and governance documentationConduct regulatory research and horizon scanningParticipate in client meetings and advisory projects

Technical Requirements

2+ years' compliance experience within an FCA-regulated investment businessKnowledge of MiFID and/or AIFMD regulatory frameworksExperience supporting compliance monitoring activitiesExposure to financial promotions requirements (desirable)Understanding of FCA regulatory obligations and governance requirements

What's on Offer

£31,000 - £40,000+ base salaryAnnual bonusHybrid workingBroad exposure across multiple investment firmsClient-facing responsibilitiesFast-track development into a senior compliance consultantClear progression within a high-growth business

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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EMEA Head of Electronic Trading Compliance

Location: London

A senior leadership role responsible for oversight of electronic and algorithmic trading compliance across EMEA within Global Markets.

Key Technical Requirements

Extensive knowledge of UK & EU regulatory frameworks governing electronic trading:MiFID II / MiFIR (RTS 6, RTS 24, RTS 28)Market Abuse Regulation (MAR)FCA Handbook (SYSC, COBS, market integrity)UK post-Brexit regulatory divergenceProven experience in electronic trading compliance oversight:Risk identification and assessment frameworksControl design, implementation, and effectiveness testingOngoing compliance monitoring programmesStrong capability in market abuse surveillance and investigations:Insider dealing, market manipulation, unlawful disclosureTrade surveillance systems and alert review methodologiesAdvanced understanding of electronic and algorithmic trading environments:OMS / EMS platformsAlgorithm design, deployment, and monitoringPre-trade and post-trade risk controlsTrading system architecture and workflowsIn-depth knowledge of EMEA market structure and multi-asset trading:Equities, Fixed Income, FX, DerivativesRegulated markets, MTFs, OTFs, execution venuesExperience implementing governance frameworks and compliance policies aligned to regulatory standardsTechnical expertise in financial crime controls:AML, transaction monitoring, market abuse risk

Core Responsibilities

Oversight of electronic and algorithmic trading compliance frameworks across EMEAImplementation and validation of regulatory controls under MiFID II, MAR, and FCA requirementsExecution of trade surveillance and market abuse investigationsCompliance risk assessment across trading systems, models, and workflowsReview and enforcement of governance frameworks, policies, and proceduresOversight of remediation actions for compliance breaches and control deficiencies

For more information please apply here.

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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London (Remote)
Full-time | 2nd Line Compliance
Salary - £60-72K

Overview

A high-growth, FCA-regulated cryptoasset firm is seeking a Senior Compliance Monitoring Associate to build and execute a robust Compliance Monitoring & Assurance framework.

This is a hands-on, delivery-focused role requiring strong technical expertise in compliance monitoring, compliance testing, and controls assessment within a crypto or MiFID investment firm environment.

Key Responsibilities

Compliance Monitoring & Assurance

Design, implement, and maintain a risk-based Compliance Monitoring Plan (CMP) aligned to FCA rules and regulatory obligationsExecute end-to-end compliance monitoring reviews, including scoping, fieldwork, testing, and reportingProduce evidence-based findings with clear linkage to regulatory requirementsMaintain audit-ready monitoring documentation and MI reporting outputsTrack and validate remediation actions, including performing re-testing of controls

Compliance Testing & Controls

Perform independent testing of first-line controls to assess design and operating effectivenessEvaluate key control frameworks across business functions against FCA expectationsIdentify control weaknesses, gaps, and deficiencies, providing practical remediation recommendationsConduct thematic and deep-dive reviews across regulatory topicsAssess control environments in line with regulatory frameworks (e.g. SYSC, MiFID requirements)

Regulatory Framework Application

Apply and interpret FCA Handbook rules to monitoring and testing activitiesMap regulatory obligations to internal controls and monitoring activitiesSupport the development and enhancement of compliance policies, procedures, and control frameworksMonitor regulatory developments impacting cryptoassets and investment firms, integrating into monitoring plans

Required Experience

Proven experience in Compliance Monitoring / Compliance Assurance / Compliance TestingStrong track record of designing and executing monitoring plans (CMPs)Demonstrable experience of testing and assessing controls effectivenessExperience within a cryptoasset firm OR MiFID investment firmDeep working knowledge of the FCA Handbook and UK regulatory frameworkExperience producing formal monitoring reports and regulatory-grade documentationStrong technical understanding of control frameworks and risk-based testing methodologiesExperience performing root cause analysis and control remediation validation

Technical Skillset

Compliance Monitoring Plan design & executionControl design & effectiveness testingRisk-based sampling & testing methodologiesFCA regulatory rule mapping (SYSC, COBS, etc.)Monitoring documentation & audit trail managementIssue tracking, remediation validation & re-testingGovernance reporting (e.g. Risk & Compliance Committees)

Desirable

Experience within a crypto regulatory environmentExposure to FCA authorisation or regulatory change programmesStrong knowledge of MiFID II requirements and associated controls frameworksExperience in build-stage compliance functions / setting up monitoring frameworks from scratch

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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Regulatory Compliance Manager - AI RegTech

City of London (5 days per week in office)

£ Competitive + performance-based bonus + equity

We're partnering with an ambitious AI-driven RegTech firm that is redefining how financial institutions interpret and implement regulation.

They are now hiring a Regulatory Compliance Specialist who enjoys working deeply with rules, frameworks and obligations, and wants to apply that expertise in a cutting-edge technology environment.

The Opportunity

This is not a traditional 2nd line BAU compliance role. You'll sit at the intersection of regulatory expertise, product & engineering, AI model development, and client-facing solution design. You will help translate complex regulation into structured frameworks that can be embedded into AI-driven compliance tools.

If you enjoy breaking down FCA handbooks or regulatory texts, performing regulatory gap analysis, mapping policies and controls, horizon scanning and regulatory change analysis …this role is built for you.

What You'll Be Doing

Extracting regulatory obligations and structuring them into clear frameworksConducting regulatory gap analysis and compliance assessmentsMapping regulatory requirements to policies, controls and risk frameworksSupporting horizon scanning and regulatory change interpretationActing as a regulatory "human-in-the-loop" alongside product and engineering teamsSupporting client discussions, demonstrations and solution design

What They're Looking For

3-8 years' experience in regulatory complianceExperience within financial servicesStrong regulatory change, horizon scanning or regulatory implementation experienceConfident communicator able to engage both technical and business stakeholders

Desirable

Background in compliance consulting or regulatory changeExposure to RegTech or technology-driven compliance environments

If you're a regulatory professional who enjoys deep technical work and wants to apply that expertise in a forward-thinking regulatory AI environment, this is a genuinely interesting opportunity, so apply here!

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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Regulatory Compliance Manager - AI RegTech

Liverpool Street, London (5 days per week in office)
£60,000 - £75,000 + performance-based bonus + equity

We're partnering with an ambitious AI-driven RegTech firm that is redefining how financial institutions interpret and implement regulation.

They are now hiring a Regulatory Compliance Manager who enjoys working deeply with rules, frameworks and obligations, and wants to apply that expertise in a cutting-edge technology environment.

The Opportunity

This is not a traditional 2nd line BAU compliance role. You'll sit at the intersection of, regulatory expertise, product & engineering, AI model development, and client-facing solution design.

You will help translate complex regulation into structured frameworks that can be embedded into AI-driven compliance tools.

If you enjoy breaking down FCA handbooks or regulatory texts, performing regulatory gap analysis, mapping policies and controls, horizon scanning and regulatory change analysis …this role is built for you.

What You'll Be Doing

Extracting regulatory obligations and structuring them into clear frameworksConducting regulatory gap analysis and compliance assessmentsMapping regulatory requirements to policies, controls and risk frameworksSupporting horizon scanning and regulatory change interpretationActing as a regulatory "human-in-the-loop" alongside product and engineering teamsSupporting client discussions, demonstrations and solution design

What They're Looking For

5-8 years' experience in regulatory complianceExperience within financial services (retail banking exposure highly desirable)Strong regulatory change, horizon scanning or regulatory implementation experienceConfident communicator able to engage both technical and business stakeholders

Desirable:

Background in compliance consulting or regulatory changeExposure to RegTech or technology-driven compliance environments

If you're a regulatory professional who enjoys deep technical work and wants to apply that expertise in a forward-thinking AI environment, this is a genuinely interesting opportunity, so apply here!

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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Financial Crime Senior Consultant

Competitive package, bonus, benefits suite

London (Hybrid)

A well-established and highly regarded regulatory business is looking to hire a Senior Consultant into its Financial Crime team.

They have a strong reputation in the market, excellent people, and clear plans for growth. It offers a strong platform for someone looking to build their career in financial crime advisory.

The role will focus on delivering client-facing financial crime projects, particularly across:

AML / CTFSanctionsAnti-Bribery & Corruption

You'll be working closely with a wide range of clients, supporting on:

FCA authorisationsReviewing and enhancing policies and frameworksAudit, assurance and compliance monitoring reviewsFinancial crime control framework design and remediation

This is a great opportunity for someone who enjoys working in an external-facing, advisory environment, or feels they would thrive in one.

What they're looking for:

Experience in financial crime compliance (AML, sanctions, ABC)Ideally prior consultancy experienceAlternatively, strong 2nd line advisory experience with exposure to projects/transformation and/or assurance workAbility to translate regulation into practical, client-ready solutions

If you are interested in a business that offers real variety, exposure, and the chance to work alongside high-calibre professionals apply here!

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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Financial Crime Senior Consultant

Competitive package, bonus, benefits suite

London (Hybrid)

A well-established and highly regarded regulatory business is looking to hire a Senior Consultant into its Financial Crime team.

They have a strong reputation in the market, excellent people, and clear plans for growth. It offers a strong platform for someone looking to build their career in financial crime advisory.

The role will focus on delivering client-facing financial crime projects, particularly across:

AML / CTFSanctionsAnti-Bribery & Corruption

You'll be working closely with a wide range of clients, supporting on:

FCA authorisationsReviewing and enhancing policies and frameworksAudit, assurance and compliance monitoring reviewsFinancial crime control framework design and remediation

This is a great opportunity for someone who enjoys working in an external-facing, advisory environment, or feels they would thrive in one.

What they're looking for:

Experience in financial crime compliance (AML, sanctions, ABC)Ideally prior consultancy experienceAlternatively, strong 2nd line advisory experience with exposure to projects/transformation and/or assurance workAbility to translate regulation into practical, client-ready solutions

If you are interested in a business that offers real variety, exposure, and the chance to work alongside high-calibre professionals apply here!

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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Payments Regulatory Consultant (FTC - 12 months)

London | Hybrid working

We're starting a search for a Payments Regulatory Consultant to join a strong team in the payments space, starting ideally in May on a 12 month fixed term contract (FTC).

This role is very hands-on and suited to someone who has worked closely with the FCA licensing and authorisation process, specifically:

Building PSR authorisation packs and business plansAdvising firms on FCA applications / authorisationsChallenging financial projections and assumptions

Timing is key with interviews happening ahead of Easter, so we're keen to speak with relevant candidates ASAP.

If this sounds like you (or someone you know), please apply here or message me directly.

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

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Regulatory Compliance Manager - AI RegTech

Liverpool Street, London (5 days per week in office)
£60,000 - £75,000 + performance-based bonus + equity

We're partnering with an ambitious AI-driven RegTech firm that is redefining how financial institutions interpret and implement regulation.

They are now hiring a Regulatory Compliance Manager who enjoys working deeply with rules, frameworks and obligations, and wants to apply that expertise in a cutting-edge technology environment.

The Opportunity

This is not a traditional 2nd line BAU compliance role. You'll sit at the intersection of, regulatory expertise, product & engineering, AI model development, and client-facing solution design.

You will help translate complex regulation into structured frameworks that can be embedded into AI-driven compliance tools.

If you enjoy breaking down FCA handbooks or regulatory texts, performing regulatory gap analysis, mapping policies and controls, horizon scanning and regulatory change analysis …this role is built for you.

What You'll Be Doing

Extracting regulatory obligations and structuring them into clear frameworksConducting regulatory gap analysis and compliance assessmentsMapping regulatory requirements to policies, controls and risk frameworksSupporting horizon scanning and regulatory change interpretationActing as a regulatory "human-in-the-loop" alongside product and engineering teamsSupporting client discussions, demonstrations and solution design

What They're Looking For

5-8 years' experience in regulatory complianceExperience within financial services (retail banking exposure highly desirable)Strong regulatory change, horizon scanning or regulatory implementation experienceConfident communicator able to engage both technical and business stakeholders

Desirable:

Background in compliance consulting or regulatory changeExposure to RegTech or technology-driven compliance environments

If you're a regulatory professional who enjoys deep technical work and wants to apply that expertise in a forward-thinking AI environment, this is a genuinely interesting opportunity, so apply here!

Butler Rose is committed to equality in the workplace and is an equal opportunity employer.
Butler Rose Ltd is acting as an Employment Business in relation to this vacancy.

Read less