Regulatory Compliance Manager

Coopman Search & Selection are delighted to partner with a globally recognised foreign exchange brokerage headquartered in London. As a result of their expansion plans, we are searching for a Regulatory Compliance Manager to support and work directly with the Global CCO, overseeing a team, to deliver compliance its strategy and programme in London.
Key Responsibilities & Accountabilities:

  • Develop and construct the compliance program for business, collaborating with other regional compliance teams within the group
  • Assist the Chief Compliance Officer in fulfilling their duties effectively
  • Lead compliance strategies for London while managing day-to-day operations
  • Ensure compliance with FCA Handbook and relevant regulations such as CASS, MIFID, EMIR, PSD2
  • Continuously review and enhance compliance policies, procedures, and training materials to align with regulatory changes
  • Foster positive relationships between compliance and front office functions to establish compliance as a robust second line of defence
  • Lead the implementation of current and upcoming regulatory requirements
  • Identify and investigate suspicious transactions, reporting findings to regulatory authorities
  • Arrange and oversee compliance audits and risk assessments, communicating findings to senior management for necessary action
  • Managing a small team within the Regulatory Compliance function

Knowledge, Technical Skills & Competencies required:

  • Strong knowledge of the regulatory environment for a Foreign Exchange firm
  • Demonstrable experience in a generalist Compliance role within Foreign Exchange and/or derivatives trading
  • Demonstrable knowledge of FCA regulations along with MiFID II, MiFIR & EMIR rules and guidance
  • Ability to lead by example to gain credibility dealing with both internal and external stakeholders from different jurisdictions
  • Ability to foster positive relationships throughout the business, working both as part of the wider team and on their own initiative
  • Highly competent using a full suite of MS Office tools

This is a brilliant opportunity for someone to gain exposure to high-performing business working closely with an exceptional CCO in a broad, generalist compliance role. We are looking for someone with strong regulatory knowledge and experience in FX and derivatives with people management experience. For any further information, please contact
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.

At a glance

  • Location: London
  • Job type: Permanent / Full Time
  • Job sector: Fintech
  • Salary: £115000 PerAnnum
  • Published: February 29, 2024