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Regulatory Compliance Architect - AI RegTech

City of London (5 days per week in office)

£60,000 - £75,000 + equity

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

They are hiring a Regulatory Compliance Architect 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 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

Experience in regulatory compliance within financial servicesStrong regulatory change, horizon scanning or regulatory implementation experienceConfident communicator able to engage both technical and business stakeholdersLegal background / education (desirable but not essential)Background in compliance consulting / fintech (desirable but not essential)

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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Senior Compliance Consultants (Wealth, Pensions, & Investments)

Location: Remote

Contract: up to 3 months

Very decent day rates - inside IR35

We're supporting a client with multiple hires for contract roles for senior compliance professionals to support a regulatory due diligence projects within the wealth / investments / pensions space. These are would start at short notice and are fully remote.

This is document-led, analytical work requiring strong regulatory judgement and the ability to risk assess existing frameworks, policies, processes, controls and governance at pace.

The work will involve:

Reviewing existing compliance documentation (SMCR, governance, risk registers, policies, MI, sales & advice processes etc)Identifying gaps, risks and areas requiring remediation or escalationProviding clear, pragmatic written and verbal feedback

We're keen to speak to contractors with:

Senior compliance experience / previous SMF16 experience (desirable not essential) from wealth management, IFAs, investment platforms or SIPP / pensions

If you're a senior compliance contractor that meets these requirements and can start soon, then don't delay and 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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Director - Investment Firms Compliance
London | Hybrid (3 days office) | Director level salary + Benefits + bonus

A leading regulatory consultancy is seeking a Director to help drive the continued growth of its Investments Firms practice.

This is a senior leadership role combining regulatory expertise, commercial responsibility and client relationship management. You'll work with investment managers, brokers, capital markets firms and other MiFID and AIFMD regulated businesses, acting as a trusted adviser on complex regulatory matters while helping to shape the future direction of the business.

Key Responsibilities

Lead and grow a portfolio of investment firm clientsAdvise on FCA regulatory matters including MiFID / AIFMD, IFPR and SMCROversee regulatory advisory, compliance monitoring and FCA authorisation projectsDevelop and strengthen senior client relationshipsIdentify and win new business opportunitiesContribute to thought leadership and market engagementLead, mentor and develop consultants within the teamTake ownership of commercial performance, profitability and growth initiatives

About You

Strong experience within investment firms regulation, compliance consulting or professional servicesDeep understanding of the investment firms FCA regulatory environmentExpertise across MiFID / AIFMD, IFPR, SMCR, conduct and financial crime frameworksProven ability to build senior stakeholder relationshipsExperience leading complex advisory engagementsCommercially minded with a track record of growing accounts or generating businessStrong leadership and people management experience

What's on Offer

Director level salary and bonusesHybrid working model (3 days in the office)Private medical cover, life insurance, pension schemeEmployee benefit trust participationAbility to work from abroadSignificant opportunity to influence the growth of a highly regarded regulatory consultancyCollaborative, high-performing culture with genuine career progression opportunities

For a confidential discussion, 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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Manager - Regulatory Due Diligence & M&A (12-Month FTC)

A leading London based regulatory consultancy is looking for an experienced Manager to join its Investments team on a 12-month fixed-term contract.

This is a hands-on role supporting regulatory due diligence and M&A activity across the investments, financial planning, wealth management, and pensions sectors. You'll work on a range of projects including due diligence reviews, regulatory workstreams, integrations, operational readiness and post-deal implementation support.

What we're looking for

Experience operating at Manager level within consulting, compliance, risk or regulatory changeExposure to M&A transactions within financial services or similar due diligence exercisesExperience supporting regulatory due diligence, integration projects or regulatory workstreamsStrong understanding of FCA-regulated environmentsAbility to manage multiple stakeholders and deliver high-quality project outputs

What's on offer?

12-month fixed-term contractHybrid working (London-based, remote also possible)Opportunity to work on complex and high-profile regulatory and M&A projectsCollaborative consultancy environment with exposure to senior stakeholders across the industry

This role would suit someone from a consulting, compliance, regulatory change or risk background who enjoys working on varied, project-driven assignments and has the relevant experience.

If that sounds like you, 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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Associate Director, Trade Surveillance

London | Up to £77,000 + Bonus + Benefits

A rare opportunity to join an established trading business at the outset of its Futures growth strategy. Reporting directly to the Compliance Director, you'll take a leading role in developing and enhancing the trade surveillance framework across commodities, futures and derivatives trading activity.

The role requires a strong trade surveillance professional with deep knowledge of Market Abuse Regulation, capable of investigating complex alerts, escalating potential issues and acting as a key compliance partner to the business.

We're looking for:

7+ years' relevant trade surveillance experienceStrong expertise in MAR and market abuse investigationsGood knowledge of commodities, futures and derivatives marketsExposure to LME and/or ICE products highly beneficialNasdaq SMARTS experience highly desirableStrong stakeholder management and analytical skillsDegree educated

This is an exciting opportunity to join at an early stage, gain significant visibility and help shape the surveillance function as the business continues to grow.

Package: Up to £77,000, discretionary bonus, 25 days holiday, private medical insurance, 10% pension contribution, income protection, life insurance and a comprehensive wellbeing package.

Apply here for more details.

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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Data Protection & Compliance Officer

6-Month Fixed Term Contract | 40 Hours Per Week

Were looking for an experienced Data Protection & Compliance Officer to provide hands-on support across our clients privacy and compliance activities during a period of transition.
This role combines day-to-day operational responsibility with the opportunity to review and improve the wider data protection framework. Youll act as the go-to advisor on privacy matters, ensuring compliance obligations are met while helping to shape a practical and effective future operating model.

Key Responsibilities

Manage Subject Access Requests (SARs), Right to Erasure requests and other Individual Rights Requests.
Investigate privacy-related complaints, enquiries and data protection incidents.
Support and advise business teams on day-to-day data protection matters.
Maintain compliance documentation, including Records of Processing Activities (ROPA).
Support and review Data Protection Impact Assessments (DPIAs).
Monitor compliance with UK GDPR, Data Protection Act 2018 and related legislation.
Conduct a review of current data protection processes, controls and governance arrangements.
Identify risks, gaps and opportunities for improvement.
Produce recommendations and a practical roadmap for future enhancements.
Support knowledge transfer and transition activities.

About You

Proven experience in data protection, privacy or compliance roles.
Recognised privacy qualification (e.g. CIPP/E, CIPM, CIPT, BCS Data Protection Practitioner or equivalent).
Experience managing SARs, DPIAs, privacy incidents, LIAs and compliance documentation.
Experience conducting compliance reviews, audits or gap analyses.
Able to work independently and provide pragmatic, risk-based advice.
Strong stakeholder management, communication and report-writing skills.

This is an excellent opportunity for a privacy professional who enjoys balancing operational delivery with continuous improvement and wants to make a lasting impact within the organisation.

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 Promotions Compliance Manager

Hybrid (UK) | £55,000-£70,000 + Benefits

A growing retail trading and investment platform is looking for a Financial Promotions Compliance Manager to join its expanding compliance team. This is a hybrid role offering the opportunity to work across multiple regulated markets including the UK, US, UAE, Europe and Australia.

The position is focused primarily on financial promotions compliance (approximately 70% of the role), ensuring marketing communications, digital content, campaigns and customer communications meet regulatory requirements. The remaining 30% will involve broader compliance projects, policy enhancements, regulatory change initiatives and stakeholder support across the business.

Key Responsibilities

Review and approve financial promotions, marketing materials, websites, social media content, email campaigns and customer communications.Provide guidance on FCA financial promotions rules, consumer duty requirements and regulatory expectations.Partner with Marketing, Product and Commercial teams to support compliant customer acquisition activity.Support compliance monitoring, advisory work and regulatory projects across multiple jurisdictions.Assist with the implementation of new regulations, policies and compliance frameworks.Contribute to broader governance, risk and compliance initiatives.

Requirements

Experience in financial promotions compliance or marketing compliance within financial services.Background in a regulated environment such as retail trading, brokerage, investments, wealth management, fintech, CFD, forex or online trading platforms.Strong understanding of FCA regulations, financial promotions and consumer protection requirements.Experience reviewing digital marketing content, websites and social media communications.Exposure to international markets is advantageous, but candidates do not need experience across all jurisdictions.Crypto or digital assets experience would be beneficial but is not essential.

This is an excellent opportunity for a compliance professional seeking a highly visible role in a fast-paced, international fintech environment. 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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EMIR Transaction Reporting Analyst / SME - Contract

£400-£475 per day (Umbrella) | Initial 3-Month Contract

Hybrid working in London

A leading consultancy is seeking an experienced EMIR Transaction Reporting Consultant to support regulatory reporting projects across clients within Asset Management, Funds, and Investment Management.

This role is heavily focused on EMIR transaction reporting, with exposure to MiFIR reporting frameworks.

Key Skills & Experience:

Strong hands-on experience with EMIR Transaction Reporting and EMIR RefitWorking knowledge of MiFIR Transaction ReportingExpertise in trade reporting and transaction reporting regulatory requirementsExperience performing reconciliations, data quality analysis, and exception managementExperience analysing and remediating regulatory reporting breaks and submission errorsKnowledge of reporting to Trade RepositoriesExperience with regulatory reporting controls, governance, and oversightBackground within Asset Management, Funds, Investment Management, or Buy Side

Please apply now to be considered for this role.

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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