Compliance Manager - Fixed Term

Pepperstone; City Of London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading global fintech firm in London is seeking a Compliance Manager to drive regulatory compliance initiatives and manage compliance issues within the organization. The ideal candidate will have over 3 years of experience in financial services compliance, preferably with AML experience, and strong English communication skills. The role offers flexible working arrangements and promotes a collaborative culture.

Benefits

Flexible and hybrid working

Company paid sick leave

Paid vacation leave

Employee referral bonuses

Ongoing personal development opportunities

Collaborative culture

Employee Assistance Program

Qualifications

• 3+ years of experience in a financial services regulatory compliance role.
• Preferred AML compliance experience.
• Demonstrated proactive leadership and guidance.
• Experience in working with regulatory authorities.

Responsibilities

• Manage compliance monitoring plans and AML program.
• Draft and implement compliance policies.
• Maintain compliance educational material.
• Oversee client complaint handling procedures.
• Drive proactive improvements to reduce risk.

Skills

3+ years' experience in financial services regulatory compliance

Outstanding English language skills

Strong communication and collaboration skills

Strong analytical and problem-solving skills

Well-developed documentation and policy writing skills

Outstanding attention to detail

Ability to work in a fast paced environment

Ability to work effectively in teams

Job description

Overview

The Pepperstone story started in 2010. We know what it's like to trade the world's markets. Our team describes us as a place for the curious and the driven, and we like to do things a little differently; as a transformative global fintech, we're digital, nimble, connected, and united in our vision to create a better way to trade. We thrive on progress - for our clients and for ourselves. Our organisational culture is ever-evolving, vibrant, diverse, global, and results-focused. You'll find our 550+ team currently across 11 locations and 9 time zones.

The Role

Reporting directly to the Head of Compliance - UK, the Compliance Manager is a leadership role in driving a strong compliance culture through the day to day management of Pepperstone Limited's regulatory compliance framework.

Regulatory compliance responsibilities will have you managing a broad variety of duties, including the compliance monitoring plan, all aspects of the AML/CTF program, regulatory change implementation, involvement in projects, supervision of staff and more.

The role works closely with commercial stakeholders ensuring a pragmatic, responsive and commercially minded approach aligned to the organization's strategic objectives.

As part of a collaborative and friendly Global Compliance Team, you will work with other Compliance professionals to develop shared initiatives and embed and maintain a compliance focused culture across Pepperstone's global business.

Kindly note that this is a Fixed-Term contract for a period of 12 months

As our Compliance Manager, your key responsibilities will include:

• Working with global Pepperstone stakeholders to enhance and embed the regulatory compliance framework.
• Overseeing the timely completion of the UK Compliance Monitoring Program.
• Drafting, implementing, monitoring and reviewing compliance policies and procedures, and maintaining associated compliance registers.
• Keeping up to date with new or changing regulatory requirements that may impact Pepperstone's operations and working with senior stakeholders to implement changes.
• Managing and coordinating compliance educational material and providing training sessions.
• Assisting the Head of Compliance in handling enquiries from regulatory authorities and maintaining associated registers.
• Answering and coordinating compliance related queries received from commercial stakeholders.
• Oversee the local client complaint handling procedures and provide input into resolution processes.
• Demonstrate proactive leadership through coaching and providing guidance in meeting key regulatory obligations. This includes sharing experiences, industry knowledge, and constructive solutions to all Pepperstone staff.
• Approval of financial promotions.
• Driving proactive improvements to the business in ways that will reduce risk and raise compliance standards while still supporting business growth.

About you

• 3+ years' experience in a financial services regulatory compliance role, preferably with AML compliance experience.
• Outstanding English language skills (both written and verbal) essential.
• Financial markets and compliance monitoring and/or operational risk experience preferred.
• Strong communication and collaboration skills
• Strong analytical and problem-solving skills
• Articulate and able to provide, structured, concise, considered and accurate guidance
• Well-developed documentation and policy writing skills
• Outstanding attention to detail
• Ability to work in a fast paced and time critical environment
• Ability to work effectively in teams and with stakeholders that are geographically distribute

Why you will enjoy working with us

• Flexible and hybrid working
• Company paid sick leave
• Paid vacation leave
• Employee referral bonuses for referring top talent to the company
• Ongoing personal development & learning opportunities
• Frequent events and celebrations
• Genuinely collaborative and friendly culture
• Employee Assistance Program & Wellbeing Initiatives

More about Pepperstone

We're a regulated online Forex and CFD trading platform. With the scale of a global fintech and the agility of a start-up, we arm our clients with everything they need to take on the global markets with confidence. You will be part of a wider passionate and friendly team, and whilst things may not always go to plan, we learn quickly and move forward with impact. To learn even more visit Pepperstonecareers.com and www.linkedin.com/company/pepperstone/

We understand it's important to do due diligence on a prospective employer, and see what our team is saying on Glassdoor. We respect our team members' experiences and will never pay to remove a negative review.

Pepperstone is an equal-opportunity employer. We are passionate about building a diverse workplace and strongly encourage applications from any background.

We are a 2025 Circle Back Initiative Employer - we respond to every applicant.

We will be reviewing applications as they come through, so if this is an opportunity that excites you, don't wait. Express your interest by clicking the apply button below as soon as possible.

Note to external agencies: While we appreciate the efforts of external recruitment agencies, we prefer to engage directly with applicants for this opportunity.

#Li-Hybrid