At a Glance
- Tasks: Lead compliance for a top trading firm and engage with regulators.
- Company: A leading global trading firm committed to sustainability and stakeholder interests.
- Benefits: Competitive salary, professional growth, and a collaborative work environment.
- Other info: Join a certified Great Place to Work and thrive in your career.
- Why this job: Make a real impact in compliance while working in a dynamic trading environment.
- Qualifications: Experience in senior compliance roles within trading and strong FCA knowledge.
The predicted salary is between 80000 - 100000 £ 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.
- 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.
As a Certified B CorporationTM, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value and incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to WorkTM, we ensure our workplace is one that fosters professional growth and collaboration.
Head of Compliance - Trading Firm in Slough employer: Coopman Search and Selection | B CorpTM
As a leading global trading firm based in London, we pride ourselves on being a Certified B CorporationTM, committed to sustainable business practices that benefit all stakeholders. Our dynamic work culture fosters collaboration and professional growth, making it an excellent environment for the Head of Compliance to thrive while driving a strong compliance culture across the organisation. With a focus on meaningful engagement and development opportunities, we ensure our employees are well-supported in their careers.
Contact Details:
Coopman Search and Selection | B CorpTM Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance - Trading Firm in Slough
✨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 and showcase your expertise.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. Be ready to discuss how you've successfully navigated compliance challenges in the past, especially in fast-paced environments.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values. Check out our website for opportunities at companies that prioritise a strong compliance culture and ethical practices.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Use this opportunity to reiterate your enthusiasm for the role and how you can contribute to their compliance programme.
We think you need these skills to ace Head of Compliance - Trading Firm in Slough
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 senior role. Share specific examples of how you've led compliance programmes and engaged with regulators. We love a good story that showcases your skills!
Showcase Your Leadership Skills:As a Head of Compliance, you'll be leading a team and working closely with senior stakeholders. Make sure to highlight your leadership experience and how you've fostered a strong compliance culture in previous roles. We’re keen to see how you can drive our compliance function forward!
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It helps us keep track of your application 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 CorpTM
✨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.
✨Show Your Hands-On Approach
Since this role requires a hands-on compliance programme, be ready to share examples from your past experiences where you've taken initiative. Talk about how you've led compliance efforts or improved processes in previous roles, especially in fast-paced environments.
✨Engage with Stakeholders
Demonstrate your ability to communicate effectively with senior stakeholders. Prepare to discuss how you've built relationships with front office teams and regulators, and how you’ve provided clear, commercial regulatory advice in the past.
✨Cultivate a Compliance Culture
Be prepared to talk about how you've fostered a strong compliance culture in your previous roles. Share strategies you've implemented to ensure compliance is a priority across the organisation, and how you’ve engaged teams to take ownership of compliance responsibilities.
