Compliance Manager (London Area)

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.

For further information please contact Hannah Tabatabai