Compliance Manager, UK – FCA Approved, London, UK (Hybrid)
Seeking 2+ years’ experience with an FCA-regulated MIFID investment firm; Previous experience holding SMF 16 & 17, preferable; FX, CFD’s advantageous.
Company: Global Group, 10 years of operations
A brokerage company dedicated to providing liquidity and secure access to trading platforms for both professional and retail clients. Offering a wide range of services, including multi-asset brokerage with leveraged trading of over 2000 assets, share trading on more than 120 exchanges, asset management, and crypto trading.
With a global presence spanning across Europe, South Africa, Asia, and U.S., authorizations and licenses from prominent regulatory bodies such as the FCA in the UK, CySEC in Cyprus, the DED in Dubai, UAE, the FSCA in South Africa, the CNMV in Spain, and recently, FINRA in the US. In addition to their existing markets, they are expanding into Italy and India in the near future.
We are seeking an experienced Compliance Manager/Head of Compliance who is FCA approved to join our clients London-based team in a hybrid role with plenty of flexibility. As a vital member of the global organization, you will maintain and enhance the company’s commitment to regulatory compliance and transparency.
About the Role:
The job holder will be the sole compliance officer for the UK entity and would be responsible for:
Identification and monitoring of regulatory changes relevant to the UK and coordination of response and implementation within the business;
Development and implementation of the compliance monitoring programme; Drafting, review and implementation of compliance policies;
Approval of marketing materials; Acting as contact with the FCA and external compliance advisors;
Preparation, submission and oversight of all FCA regulatory reporting-related requirements, SMCR updates and assessments and other reports and maintaining relevant registers;
Maintaining training programmes in accordance to rules and regulations;
Horizon scanning of forthcoming regulatory initiatives which may affect the firms operations.
Reports to the Group Compliance Officer as well as the UK entity Board
About the Candidate:
2+ years’ experience with an FCA-regulated MIFID investment firm; Previous experience holding SMF 16 & 17, preferable;
Ability to communicate effectively with stakeholders at all levels within an organisation, including Board level;
Strong understanding of regulatory rules and guidance in UK;
Resourceful and capable of working autonomously.
Candidates looking to step up from their current position will also be considered favourably.
– FCA approved with a deep understanding of international regulatory frameworks.
– Proven experience in a compliance leadership role within the financial services industry.
– Excellent knowledge of FCA regulations and experience with other global regulators is a plus.
– Strong analytical, problem-solving, and communication skills.
– Ability to work in a fast-paced, global, and dynamic environment.
What We Offer
– Competitive compensation package.
– Opportunities for professional growth and development.
– A diverse and inclusive work environment.
– The chance to be a part of a global team in a rapidly expanding organization.
– Hybrid work options to promote work-life balance.
If you are an accomplished compliance professional looking for an exciting opportunity with a truly global company committed to transparent, regulated investment services, we invite you to apply.
How to Apply:
Please send your CV in confidence to email@example.com
Be sure to mention your FCA Approved status or likelihood of approval if not yet approved. I look forward to speaking to you to discuss this opportunity and the clients history and commitment to maintaining regulatory excellence and customer satisfaction.