Senior Compliance Manager

We are currently partnered with a global, Financial Services brokerage firm who, due to continued growth, are looking to add a Senior Compliance Manager to their existing UK Compliance function. This role will have a true generalist nature to it, so will require an individual comfortable working in an agile team and managing multiple workstreams:
Key Responsibilities & Accountabilities:

  • Ensure compliance with FCA Handbook and relevant regulations such as CASS, MIFID, EMIR
  • Foster positive relationships between compliance and front office by delivering Compliance focused training to the business
  • Conducting continuous monitoring and reviews of the Compliance Programme and trading activities
  • Utilising technology to identify any potential cases of market abuse or other Compliance related breaches
  • Being point of contact for the FCA, maintaining records, submitting reports and regulatory filings and developing the relationship
  • Establishing solid first line KYC and AML processes for the onboarding of clients and conducting ongoing due diligence for existing clients

Knowledge, Technical Skills & Competencies required:

  • Minimum 4 years Compliance experience within a regulated trading firm, ideally with a FX/CFD background
  • Sound and up to date knowledge of current UK regulations along with MiFID II, MiFIR & EMIR rules
  • Ability to communicate effectively with stakeholders of all levels to promote the Compliance culture from within
  • Comfortable working autonomously on numerous projects at any given time

If you possess the relevant regulatory knowledge and experience, and are looking to further your career in a growing, global business, please apply now. For more information, reach out to
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: Banking
  • Salary: £70000 PerAnnum
  • Published: June 3, 2024