Compliance Manager

Compliance Professionals; Greater London; On-site; GBP 60,000 - 70,000; Full time

Job summary

An established industry player is on the lookout for a Compliance Manager to enhance its compliance team. This pivotal role involves managing compliance operations, engaging with regulators, and ensuring adherence to regulatory standards. You will play a critical part in developing compliance training and maintaining the Compliance Monitoring Programme. This dynamic position offers the opportunity to work within a global brokerage firm, contributing to high-impact regulatory initiatives while collaborating with various internal teams. If you are passionate about compliance and eager to make a significant impact, this role is for you.

Qualifications

• Experience in compliance roles within financial services.
• Strong knowledge of market abuse regulations and transaction reporting.

Responsibilities

• Manage compliance interactions with regulators and stakeholders.
• Oversee compliance monitoring and reporting activities.
• Develop and deliver compliance training to employees.

Skills

Compliance experience

Knowledge of FCA Handbook

Understanding of trading lifecycle

Liaising with regulatory authorities

Job description

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.

For further information please contact Hannah Tabatabai

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Securities and Commodity Exchanges and Financial Services

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