Compliance Adviser

Vacancy reference: LON-COM-00306

Location: London

Employment type: Permanent

Department: Compliance

Are you an experienced Compliance professional with experience of analysing complex regulation and providing high level advice to senior management?  Have you worked on MiFID II implementation including client order handling, Best Execution or transaction reporting?  Do you have a good understanding of FCA, PRA and European rules and guidance, particularly relating to COBS, MiFID II, MiFIR and CSDR?  We have a great opportunity to join a dynamic and busy Compliance department within an award winning and market leading financial services firm.

Transact Info:

Transact is the leading independent investment wrap platform in the UK.  Established in 2000, we have over £37 billion of funds under direction (as at September 2019) on behalf of over 5,700 advisers and 173,000 investor clients.  Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7.

The Role:

After a recent restructure within our Compliance department, we are recruiting for a Compliance Adviser for a new team responsible for delivering high quality and accurate regulatory advice and guidance to the business.  The team will play a key role in regulatory change projects including analysis and recommendations for system developments to our propriety software supporting the Transact platform.

This role will focus on the rules surrounding:

  • Client order handling
  • Best Execution
  • Clearing
  • Settlement
  • Market infrastructure
  • Transaction reporting

You will be the main point of contact for providing advice around these areas to the business on the applicable rules, regulations and strategic compliance guidance on the complex regulatory queries.

You will also be required to plan and deliver small to medium sized regulatory change projects when required with the wider compliance team.


You will have experience with the following:

  • In-depth practical knowledge and understanding of FCA, PRA and European rules and guidance, particularly relating to COBS, MiFID II, MiFIR and CSDR
  • Practical knowledge and understanding of the UK regulatory environment
  • 3 years relevant experience in a Compliance based role working in a financial services, investment or fund management company
  • Proven track record of successfully interpreting and implementing regulatory change and high quality & effective compliance advice
  • Advanced knowledge of Microsoft word, Excel and previous database analysis


In return we offer you a great remuneration package including company discretionary bonus, excellent pension contributions, an attractive staff share scheme, BUPA health insurance, season ticket loan, buying and selling of annual leave and sponsorship of your relevant professional qualifications.

Equal Opps:

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences.  We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.


The closing date for this vacancy has now passed.