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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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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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