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- Tasks: Join our London team as a Compliance Manager, tackling regulatory challenges head-on.
- Company: ThinkMarkets is a global trading firm focused on compliance and client protection.
- Benefits: Enjoy professional development, a collaborative culture, and core team visibility from day one.
- Why this job: Make a real impact in a fast-paced environment while ensuring business growth safely.
- Qualifications: 3-6 years of compliance experience in FCA-regulated firms and strong knowledge of UK regulations required.
- Other info: This role offers broad exposure across various business functions and innovative projects.
The predicted salary is between 36000 - 60000 £ per year.
ThinkMarkets is a global multi-asset trading firm providing retail and institutional clients access to CFDs, FX, indices, and commodities through our proprietary ThinkTrader platform. As an FCA-authorised firm operating in a high-risk investment category, regulatory compliance is fundamental to our business model and client protection.
We\’re committed to maintaining the highest standards of regulatory compliance while enabling business growth and innovation in one of the most dynamic sectors of financial services.
The Role
We\’re seeking aCompliance Managerto join our London team – a hands-on, operationally-focused role perfect for an experienced compliance professional who thrives in fast-paced environments and enjoys designing, implementing, and applying solutions to complex regulatory challenges.
This isn\’t a people management position, but requires manager-level expertise, independent judgment, and the confidence to lead implementation of compliance frameworks across all business functions. You\’ll be instrumental in both designing and executing our regulatory approach while ensuring the business can deliver growth safely and compliantly.
Key Responsibilities
Regulatory Advisory & Implementation:
- Provide authoritative guidance on FCA requirements including COBS, SYSC, MAR, MiFIDPRU, and Consumer Duty
- Design, implement, and apply compliance solutions across front office, operations, risk, IT, and marketing teams
- Lead the practical implementation of regulatory changes, from policy development through to operational deployment
- Ensure regulatory considerations are embedded in new product development and business initiatives
Market Surveillance & Reporting
- Execute market abuse surveillance and transaction reporting under MiFIR and EMIR
- Investigate trading alerts and anomalies, escalating appropriately
- Ensure accuracy and timeliness of all regulatory submissions and returns
Financial Promotions & Client Communications
- Review and approve marketing materials, website content, and client communications
- Balance regulatory requirements with commercial objectives
- Maintain oversight of all customer-facing materials and disclosures
AML & Client Onboarding
- Design, implement, and apply day-to-day KYC, EDD, sanctions, and PEP screening processes
- Lead implementation of enhanced onboarding procedures that reduce risk while improving client experience
- Apply robust AML controls across all client touchpoints with hands-on operational oversight
Governance & Risk Management
- Design, implement, and maintain compliance policies, risk registers, and management information systems
- Apply governance frameworks to Board and Committee reporting, including SMCR and ICARA requirements
- Lead implementation of audit recommendations and thematic review findings
- Support internal audits, thematic reviews, and regulatory examinations
Complaint Management
- Design and implement regulatory complaint processes under DISP
- Apply root cause analysis methodologies and implement comprehensive remediation measures
- Lead Consumer Duty initiatives and consumer harm reduction programs
Regulatory Relations
- Assist with FCA correspondence, information requests, and supervisory meetings
- Support preparation for regulatory visits and inspections
- Maintain positive, proactive relationships with regulators
- 3-6 yearscompliance experience in FCA-regulated CFD, FX, or investment firms
- Strong working knowledge of UK financial services regulation (COBS, SYSC, MAR, MiFID II, EMIR, Consumer Duty)
- Hands-on experience with trade surveillance, AML controls, and financial promotions
- Proven ability to work across multiple business functions and wear different hats
- Excellent communication skills with ability to translate regulation into practical business guidance
What Makes You Stand Out
- Ownership mentality- you take pride in seeing projects through to completion
- Problem-solving approach- you ask insightful questions and deliver pragmatic solutions
- Proactive mindset- always anticipating needs and staying ahead of deadlines
- Commercial awareness- understanding business objectives while maintaining regulatory standards
- Industry qualifications (ICA, ACAMS) or commitment to obtaining them
What We Offer
- Deep expertise developmentin one of the FCA\’s most closely supervised sectors
- Broad business exposureacross product, technology, operations, and client experience
- Collaborative culturewhere your insights and contributions are valued
- Core team visibilitywith direct impact on business outcomes from day one
- Professional developmentopportunities in a fast-growing, innovative firm
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Compliance Manager – UK New London, England, United Kingdom employer: ThinkMarkets Group
Contact Detail:
ThinkMarkets Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager – UK New London, England, United Kingdom
✨Tip Number 1
Familiarise yourself with the specific FCA regulations mentioned in the job description, such as COBS, SYSC, and MiFID II. Being able to discuss these regulations confidently during your interview will demonstrate your expertise and readiness for the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in FCA-regulated firms. Attend industry events or webinars to gain insights and make connections that could help you stand out when applying for this position.
✨Tip Number 3
Prepare to showcase your problem-solving skills by thinking of examples where you've successfully implemented compliance solutions in previous roles. This will highlight your hands-on experience and ability to navigate complex regulatory challenges.
✨Tip Number 4
Stay updated on current trends and changes in financial regulations, particularly those affecting the CFD and FX markets. Being knowledgeable about recent developments will not only impress your interviewers but also show your commitment to the field.
We think you need these skills to ace Compliance Manager – UK New London, England, United Kingdom
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly read the job description for the Compliance Manager position at ThinkMarkets. Understand the key responsibilities and required skills, as this will help you tailor your application effectively.
Tailor Your CV: Highlight your relevant compliance experience, especially in FCA-regulated environments. Use specific examples that demonstrate your expertise in regulatory advisory, market surveillance, and AML controls to align with the job requirements.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your understanding of the regulatory landscape and your problem-solving approach. Mention how your proactive mindset and ownership mentality can contribute to ThinkMarkets' compliance objectives.
Showcase Relevant Qualifications: If you have industry qualifications like ICA or ACAMS, be sure to mention them in your application. If you are committed to obtaining these qualifications, include that as well, as it shows your dedication to professional development.
How to prepare for a job interview at ThinkMarkets Group
✨Know Your Regulations
Familiarise yourself with key FCA regulations such as COBS, SYSC, and MiFID II. Be prepared to discuss how these regulations impact compliance strategies and provide examples of how you've navigated regulatory challenges in the past.
✨Demonstrate Problem-Solving Skills
ThinkMarkets values a problem-solving approach. Prepare to share specific instances where you've identified regulatory issues and implemented effective solutions. Highlight your ability to think critically and adapt to fast-paced environments.
✨Showcase Your Communication Skills
Effective communication is crucial in compliance roles. Be ready to explain complex regulatory concepts in simple terms. Practice articulating how you’ve successfully communicated compliance requirements to various stakeholders in previous roles.
✨Exhibit a Proactive Mindset
Demonstrate your proactive approach by discussing how you anticipate regulatory changes and prepare for them. Share examples of how you've taken initiative in previous positions to enhance compliance processes or improve client experiences.
