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- Tasks: Support compliance activities and enhance regulatory understanding within a dynamic team.
- Company: Join Coopman Search & Selection, a B Corp committed to sustainable business practices.
- Benefits: Enjoy a collaborative workplace with opportunities for professional growth and development.
- Why this job: Make a real impact on compliance while working in a supportive and innovative environment.
- Qualifications: Ideal for those with compliance experience in regulated investment firms and relevant qualifications.
- Other info: Be part of a recognised Great Place to Work with a focus on stakeholder interests.
The predicted salary is between 28800 - 43200 £ per year.
Join to apply for the Regulatory Compliance Analyst role at Coopman Search and Selection | B Corp
Join to apply for the Regulatory Compliance Analyst role at Coopman Search and Selection | B Corp
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Coopman Search & Selection are delighted to partner with a globally recognised foreign exchange brokerage headquartered in London. Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme.
Key Responsibilities
- Foster relationships with front office staff to enhance their understanding of regulatory obligations
- Monitor front office operations for adherence to rules, escalate issues as needed, and implement corrective actions
- Conduct compliance reviews and assessments of front office activities
- Test controls to ensure business operations comply with regulatory requirements
- Act as a first point of contact for general regulatory queries, providing advice and guidance to the business
- Generate management information reports on surveillance, liaison, and training efforts
- Lead remediation projects for areas of compliance weakness identified by the second line of defence
- Contribute to the alignment of policies and procedures with actual practices
- Assist with ad-hoc compliance tasks and coverage of team responsibilities
- Promote a culture of conduct and compliance throughout the organisation
Core Competencies & Experience
- Experience of working within the Compliance function of a regulated Investment firm
- Demonstrable experience of providing Compliance advice to the business as well as implementing solutions to bolster first line defences
- Existing knowledge of FCA regulations along with MiFID II, MiFIR & EMIR rules and guidance and the ability to horizon scan for future developments
- Strong knowledge of the regulatory environment for FX and Payments firms
- Degree educated with professional qualifications of CISI or ICA diploma would be desirable
- Ability to work strongly in a team and foster a positive relationship with stakeholders from different business lines and varying levels of seniority
This role would be perfectly suited for a compliance professional with exposure of working in a regulated Investment firm, who would like to be part of a tight knit team with generalist responsibility which will have a real impact on the business’ wider compliance programme. If you would like to find out more about this role, please contact
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 & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.
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Regulatory Compliance Analyst 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 Regulatory Compliance Analyst
✨Tip Number 1
Familiarise yourself with FCA regulations, MiFID II, MiFIR, and EMIR rules. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in regulated investment firms. Building relationships can provide insights into the role and may lead to referrals.
✨Tip Number 3
Stay updated on the latest developments in the regulatory environment for FX and Payments firms. This knowledge will be crucial during discussions and can set you apart from other candidates.
✨Tip Number 4
Prepare to discuss how you've fostered relationships with stakeholders in previous roles. Highlighting your ability to communicate effectively across different levels of seniority will resonate well with the hiring team.
We think you need these skills to ace Regulatory Compliance Analyst
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Regulatory Compliance Analyst position. Understand the key responsibilities and required competencies, such as knowledge of FCA regulations and experience in compliance functions.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance roles, particularly within regulated investment firms. Emphasise any specific achievements or projects that align with the responsibilities mentioned in the job description.
Craft a Compelling Cover Letter: Write a cover letter that not only expresses your interest in the role but also demonstrates your understanding of the regulatory environment and how your skills can contribute to the company's compliance programme. Mention your ability to foster relationships with stakeholders.
Proofread Your Application: Before submitting your application, carefully proofread all documents for spelling and grammatical errors. A polished application reflects attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Coopman Search and Selection | B Corp™
✨Know Your Regulations
Familiarise yourself with FCA regulations, MiFID II, MiFIR, and EMIR rules. Being able to discuss these in detail will show your understanding of the regulatory landscape and how it applies to the role.
✨Demonstrate Relationship Building Skills
Prepare examples of how you've successfully fostered relationships with stakeholders in previous roles. This is crucial for enhancing understanding of regulatory obligations within the front office.
✨Showcase Compliance Experience
Be ready to discuss your past experiences in compliance functions, particularly in regulated investment firms. Highlight specific instances where you provided compliance advice or implemented solutions.
✨Prepare for Scenario Questions
Anticipate questions that may ask how you would handle specific compliance issues or challenges. Think through your approach to monitoring operations and implementing corrective actions.
