Compliance Manager - UK

ThinkMarkets; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A global trading firm in London is seeking a Compliance Manager to oversee regulatory compliance across functions. This hands-on role requires experience in FCA-regulated environments, focusing on implementing compliance solutions and ensuring adherence to regulations. Ideal candidates will have strong communication skills and a proactive approach to problem-solving, contributing to the firm's growth while upholding regulatory standards. Opportunities for professional development are available.

Benefits

Professional development opportunities

Collaborative culture

Core team visibility

Qualifications

• 3-6 years of compliance experience in FCA-regulated firms.
• Strong working knowledge of UK financial services regulation.
• Hands-on experience with trade surveillance and AML controls.

Responsibilities

• Provide guidance on FCA requirements across teams.
• Design and implement compliance solutions for regulatory changes.
• Review and approve marketing materials and communications.

Skills

Regulatory compliance expertise

Problem-solving skills

Excellent communication skills

Commercial awareness

Education

Industry qualifications (ICA, ACAMS)

Job description

ThinkMarkets is a global multi-asset trading firm providing retail and institutional clients access to CFDs, FX, indices, and commodities through our proprietary ThinkTrader platform. As an FCA-authorised firm operating in a high-risk investment category, regulatory compliance is fundamental to our business model and client protection.

We're committed to maintaining the highest standards of regulatory compliance while enabling business growth and innovation in one of the most dynamic sectors of financial services.

The Role

We're seeking aCompliance Managerto join our London team - a hands-on, operationally-focused role perfect for an experienced compliance professional who thrives in fast-paced environments and enjoys designing, implementing, and applying solutions to complex regulatory challenges.

This isn't a people management position, but requires manager-level expertise, independent judgment, and the confidence to lead implementation of compliance frameworks across all business functions. You'll be instrumental in both designing and executing our regulatory approach while ensuring the business can deliver growth safely and compliantly.

Key Responsibilities

Regulatory Advisory & Implementation:

• Provide authoritative guidance on FCA requirements including COBS, SYSC, MAR, MiFIDPRU, and Consumer Duty
• Design, implement, and apply compliance solutions across front office, operations, risk, IT, and marketing teams
• Lead the practical implementation of regulatory changes, from policy development through to operational deployment
• Ensure regulatory considerations are embedded in new product development and business initiatives

Market Surveillance & Reporting

• Execute market abuse surveillance and transaction reporting under MiFIR and EMIR
• Investigate trading alerts and anomalies, escalating appropriately
• Ensure accuracy and timeliness of all regulatory submissions and returns

Financial Promotions & Client Communications

• Review and approve marketing materials, website content, and client communications
• Balance regulatory requirements with commercial objectives
• Maintain oversight of all customer-facing materials and disclosures

AML & Client Onboarding

• Design, implement, and apply day-to-day KYC, EDD, sanctions, and PEP screening processes
• Lead implementation of enhanced onboarding procedures that reduce risk while improving client experience
• Apply robust AML controls across all client touchpoints with hands-on operational oversight

Governance & Risk Management

• Design, implement, and maintain compliance policies, risk registers, and management information systems
• Apply governance frameworks to Board and Committee reporting, including SMCR and ICARA requirements
• Lead implementation of audit recommendations and thematic review findings
• Support internal audits, thematic reviews, and regulatory examinations

Complaint Management

• Design and implement regulatory complaint processes under DISP
• Apply root cause analysis methodologies and implement comprehensive remediation measures
• Lead Consumer Duty initiatives and consumer harm reduction programs

Regulatory Relations

• Assist with FCA correspondence, information requests, and supervisory meetings
• Support preparation for regulatory visits and inspections
• Maintain positive, proactive relationships with regulators
• 3-6 yearscompliance experience in FCA-regulated CFD, FX, or investment firms
• Strong working knowledge of UK financial services regulation (COBS, SYSC, MAR, MiFID II, EMIR, Consumer Duty)
• Hands-on experience with trade surveillance, AML controls, and financial promotions
• Proven ability to work across multiple business functions and wear different hats
• Excellent communication skills with ability to translate regulation into practical business guidance

What Makes You Stand Out

• Ownership mentality- you take pride in seeing projects through to completion
• Problem-solving approach- you ask insightful questions and deliver pragmatic solutions
• Proactive mindset- always anticipating needs and staying ahead of deadlines
• Commercial awareness- understanding business objectives while maintaining regulatory standards
• Industry qualifications (ICA, ACAMS) or commitment to obtaining them

What We Offer

• Deep expertise developmentin one of the FCA's most closely supervised sectors
• Broad business exposureacross product, technology, operations, and client experience
• Collaborative culturewhere your insights and contributions are valued
• Core team visibilitywith direct impact on business outcomes from day one
• Professional developmentopportunities in a fast-growing, innovative firm

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