Regulatory Compliance Analyst

Coopman Search & Selection are delighted to partner with a globally recognised foreign exchange brokerage headquartered in London. Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme.
  
Key Responsibilities:

• Foster relationships with front office staff to enhance their understanding of regulatory obligations
• Monitor front office operations for adherence to rules, escalate issues as needed, and implement corrective actions
• Conduct compliance reviews and assessments of front office activities
• Test controls to ensure business operations comply with regulatory requirements
• Act as a first point of contact for general regulatory queries, providing advice and guidance to the business
• Generate management information reports on surveillance, liaison, and training efforts
• Lead remediation projects for areas of compliance weakness identified by the second line of defence
• Contribute to the alignment of policies and procedures with actual practices
• Assist with ad-hoc compliance tasks and coverage of team responsibilities
• Promote a culture of conduct and compliance throughout the organisation

  
Core Competencies & Experience:

• Experience of working within the Compliance function of a regulated Investment firm
• Demonstrable experience of providing Compliance advice to the business as well as implementing solutions to bolster first line defences
• Existing knowledge of FCA regulations along with MiFID II, MiFIR & EMIR rules and guidance and the ability to horizon scan for future developments
• Strong knowledge of the regulatory environment for FX and Payments firms
• Degree educated with professional qualifications of CISI or ICA diploma would be desirable
• Ability to work strongly in a team and foster a positive relationship with stakeholders from different business lines and varying levels of seniority

  
This role would be perfectly suited for a Compliance professional with exposure of working in a regulated Investment firm, who would like to be part of a tight knit team with generalist responsibility which will have a real impact on the business’ wider Compliance programme. If you would like to find out more about this role, please contact shane.cassidy@coopman.uk.
  
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