Compliance Manager

Compliance Professionals; City Of London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading global brokerage firm is seeking a Compliance Manager to support its compliance function, engaging with regulators and internal stakeholders. The ideal candidate will have substantial experience in compliance within regulatory environments and a strong understanding of the FCA Handbook. This role involves maintaining the compliance monitoring programme and preparing management reports. Additional responsibilities include training staff on compliance matters and adapting policies to align with regulatory changes.

Qualifications

• Experience within regulators, exchanges, brokerages, or trading firms.
• Strong knowledge of FCA and global exchange rules.
• Deep understanding of the trading lifecycle of commodity derivatives.

Responsibilities

• Represent Compliance in interactions with stakeholders.
• Maintain and execute the Compliance Monitoring Programme.
• Prepare regulatory and internal reports.

Skills

Compliance experience

Knowledge of FCA Handbook

Understanding of trading lifecycle

Liaising with regulatory authorities

Job description

Company Overview: A leading global brokerage firm specializing in derivatives is seeking to expand its compliance team. The company operates internationally.

Role Summary: The firm is looking for a Compliance Manager to join its Compliance team. Reporting directly to the Head of Compliance & MLRO, this role supports the day-to-day operations of the compliance function and contributes to high-impact regulatory initiatives.

Key Responsibilities:

• Representing Compliance in interactions with regulators, exchanges, and internal senior stakeholders.
• Maintain and execute the Compliance Monitoring Programme, including performing reviews, producing reports, and tracking findings.
• Oversee the Compliance Calendar to ensure timely submission of regulatory reports, audits, and risk assessments.
• Represent Compliance in internal committees and working groups, contributing insight and updates on compliance-related matters.
• Prepare regulatory and internal reports, including board reports and other management information.
• Provide guidance on regulatory questions, trade-related compliance issues, and internal policy interpretation.
• Manage the timely reporting of incidents to both internal and external stakeholders.
• Regularly review and update policies and procedures to align with regulatory changes and business developments.
• Develop and deliver compliance training to employees across a range of topics and seniority levels.
• Keep the Head of Compliance & MLRO informed on compliance activities, investigations, and regulatory developments.
• Support the wider compliance function with additional or ad-hoc tasks as required.

Candidate Requirements:

• Compliance experience within regulators, exchanges, brokerages, or trading firms, particularly those involved in exchange-traded derivatives.
• Strong working knowledge of the FCA Handbook—especially COBS, market abuse regulations, transaction reporting, and conduct rules—as well as relevant global exchange rules.
• Deep understanding of the trading and post-trade lifecycle of exchange-traded commodity derivatives
• Experience in liaising with regulatory authorities and exchange bodies.