Compliance Advisory Manager, Prime (Institutional)

Description

Who are we?

What will you do?

• Act as the primary compliance advisory contact for the Prime team, providing timely, practical, and risk-proportionate regulatory advice on institutional business activities.

• Review and approve financial promotions relating to Prime and institutional products, ensuring content is fair, clear, and not misleading and meets regulatory standards.

• Provide compliance input into new product or platform development and change initiatives affecting the Prime business, identifying regulatory requirements and risks early and shaping mitigations into design.

• Advise on the regulatory treatment of institutional and professional client activity, including client categorisation, onboarding, and conduct-of-business requirements.

• Monitor relevant regulatory developments affecting institutional and Prime business models and translate changes into clear guidance and action for the business.

• Build and maintain strong working relationships with Prime desk heads and business stakeholders, embedding compliance as a trusted partner rather than a gatekeeper.

• Undertake horizon-scanning, thematic reviews, and ad hoc regulatory projects relevant to institutional business.

• Maintain accurate records of advice given, financial promotion approvals, and project sign-offs to evidence compliance oversight.

• Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework.

Personal Attributes

• Acts with integrity and consistently demonstrates high professional and ethical standards.

• Delivers high-quality work with energy, accountability, and a strong sense of urgency.

• Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection.

• Committed to continuous improvement in controls and ways of working.

• Communicates clearly and manages stakeholders effectively.

• Collaborates constructively while providing confident and effective challenge.

• Demonstrates sound judgement and resilience.

• Comfortable working from IG’s London office a minimum of three days per week.

Outcomes, not activity

• Regulatory risk on the Prime business being sufficiently managed and monitored. This includes ensuring Prime activities consistently meet regulatory standards while supporting timely business delivery.

• Efficient and pragmatic compliance support enables commercial growth while protecting clients and the firm.

• Strong collaboration and trust built with business and control stakeholders.

• High individual performance and engagement.

Experience & Education

• At least 5–8 years’ compliance experience within financial services, with strong experience in advising a Prime, institutional or professional client/DMA desk.

• Strong technical/regulatory expertise in areas typically associated with Prime/institutional business as well as wider FCA rules such as COBS, CASS, MAR, MiFID II and EMIR ReFIT as they apply to institutional and professional client business.

• Experience working with various trading desks in fast-paced environments with tight delivery timelines.

• Strong understanding of financial products, ideally including trading or investment products.

• Bachelor's degree in Law, Business, Finance, Economics or related field.