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- Tasks: Lead compliance for a top trading firm and engage with regulators.
- Company: Join a leading global trading firm committed to ethical business practices.
- Benefits: Competitive salary, dynamic work environment, and opportunities for professional growth.
- Other info: Be part of a Certified B Corporation™ that values social responsibility.
- Why this job: Make a significant impact in compliance while working in a fast-paced trading environment.
- Qualifications: Experience in senior compliance roles within trading and strong FCA knowledge required.
The predicted salary is between 100000 - 150000 £ per year.
Coopman Search are partnering exclusively with a leading global trading firm who are seeking a Head of Compliance (SMF 16/17) to join their London office. This is a senior, high-impact hire, responsible for leading the compliance function and acting as the key interface with the FCA. In this role, you will take full ownership of the day-to-day compliance programme, working closely with senior stakeholders across the business. You will be expected to adopt a highly hands-on approach, providing pragmatic regulatory guidance while operating effectively in a fast-paced trading environment.
Key Responsibilities:
- Act as SMF16 (Compliance Oversight) and SMF17 (MLRO), with full accountability for the UK compliance framework.
- Lead and execute the day-to-day compliance programme, including monitoring, policies, and controls.
- Serve as the primary point of contact with the FCA, managing regulatory engagement and submissions.
- Provide clear, commercial regulatory advice to front office and senior leadership.
- Oversee compliance monitoring, surveillance, and regulatory reporting obligations.
- Drive and maintain a strong compliance culture across the organisation.
Experience Required:
- Proven experience operating as an SMF16/17 (or equivalent senior compliance role) within a trading environment.
- Strong knowledge of FCA rules and regulatory expectations.
- Deep experience across FX, Fixed Income, OTC products, and Options.
- Exposure to Commodities markets would be advantageous.
- Demonstrated ability to build and run a hands-on compliance programme.
- Confident engaging with regulators and senior stakeholders.
- Strong judgement, communication skills, and attention to detail.
For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value.
Head of Compliance - Trading Firm employer: Coopman Search and Selection | B Corp™
Contact Detail:
Coopman Search and Selection | B Corp™ Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Trading Firm
✨Tip Number 1
Network like a pro! Reach out to your connections in the trading and compliance sectors. Attend industry events or webinars where you can meet potential employers or colleagues. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Think about how your experience aligns with their needs, especially in a fast-paced trading environment. We want you to shine when you get that interview!
✨Tip Number 3
Showcase your hands-on approach! Be ready to discuss specific examples of how you've led compliance programmes in the past. This is your chance to demonstrate your expertise and how you can add value to their team.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for talented individuals like you to join our mission of doing good in the business world.
We think you need these skills to ace Head of Compliance - Trading Firm
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience with FCA regulations and compliance frameworks, as well as any hands-on roles you've had in trading environments. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Be sure to mention your experience as an SMF16/17 and how you can drive a strong compliance culture at our firm. We love a good story that connects your past to our future!
Showcase Your Regulatory Knowledge: In your application, don’t forget to showcase your deep knowledge of FCA rules and regulatory expectations. We’re looking for someone who can provide clear, commercial regulatory advice, so make sure to highlight relevant experiences that demonstrate this skill.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates. Plus, it’s super easy – just a few clicks and you’re done!
How to prepare for a job interview at Coopman Search and Selection | B Corp™
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules and regulations before the interview. Being able to discuss specific compliance frameworks and how they apply to a trading environment will show that you're not just familiar with the theory, but you can also apply it practically.
✨Showcase Your Hands-On Experience
Prepare examples from your past roles where you've taken a hands-on approach to compliance. Highlight situations where you led compliance programmes or engaged directly with regulators. This will demonstrate your capability to manage the day-to-day compliance function effectively.
✨Engage with Stakeholders
Think about how you’ve worked with senior stakeholders in previous positions. Be ready to discuss how you provided regulatory advice to front office teams and leadership. This shows you can communicate complex compliance issues clearly and effectively.
✨Cultivate a Compliance Culture
Be prepared to talk about how you've driven a strong compliance culture in your previous roles. Share strategies you’ve implemented to ensure compliance is a priority across the organisation, as this aligns with the expectations of the role.