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For Companies At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory adherence across various business functions.
- Company: ThinkMarkets is a global trading firm offering innovative financial solutions to clients worldwide.
- Benefits: Enjoy professional development, a collaborative culture, and direct impact on business outcomes.
- Why this job: Join a dynamic team where your insights matter and contribute to safe business growth.
- Qualifications: 3-6 years of compliance experience in FCA-regulated firms and strong knowledge of UK regulations required.
- Other info: This role offers hands-on experience in a fast-paced environment without people management responsibilities.
The predicted salary is between 60000 - 84000 £ per year.
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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 a Compliance Manager to 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
Essential Requirements
- 3-6 years compliance 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 development in one of the FCA\’s most closely supervised sectors
- Broad business exposure across product, technology, operations, and client experience
- Collaborative culture where your insights and contributions are valued
- Core team visibility with direct impact on business outcomes from day one
- Professional development opportunities in a fast-growing, innovative firm
Seniority level
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Seniority level
Mid-Senior level
Employment type
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Employment type
Full-time
Job function
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Job function
Legal
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Compliance Manager – UK employer: ThinkMarkets
Contact Detail:
ThinkMarkets Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager – UK
✨Tip Number 1
Familiarise yourself with the specific FCA regulations mentioned in the job description, such as COBS, SYSC, and MiFID II. This will not only help you understand the role better but also allow you to speak confidently about how your experience aligns with these requirements during any discussions.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in FCA-regulated firms. Engaging with industry peers can provide insights into the role and may even lead to referrals, increasing your chances of landing an interview.
✨Tip Number 3
Prepare to discuss real-world examples of how you've implemented compliance solutions in previous roles. ThinkMarkets is looking for someone who can apply their knowledge practically, so showcasing your problem-solving skills will be crucial.
✨Tip Number 4
Stay updated on current trends and changes in financial regulations. Being knowledgeable about recent developments will demonstrate your proactive mindset and commitment to the compliance field, making you a more attractive candidate.
We think you need these skills to ace Compliance Manager – UK
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant compliance experience, particularly in FCA-regulated environments. Use specific examples that demonstrate your knowledge of regulations like COBS, SYSC, and MiFID II.
Craft a Strong Cover Letter: In your cover letter, express your passion for compliance and how your skills align with the role at ThinkMarkets. Mention your problem-solving approach and ownership mentality, as these traits are highly valued.
Showcase Relevant Qualifications: If you have industry qualifications such as ICA or ACAMS, be sure to mention them prominently. If you're committed to obtaining them, include this in your application to show your dedication to professional development.
Highlight Communication Skills: Since excellent communication is essential for this role, provide examples of how you've successfully translated complex regulations into practical business guidance in previous positions.
How to prepare for a job interview at ThinkMarkets
✨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 balance compliance with business objectives.
✨Showcase Your Communication Skills
Effective communication is crucial for this role. Practice explaining complex regulatory concepts in simple terms. Be ready to discuss how you've successfully communicated compliance requirements across different teams.
✨Exhibit 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 roles to enhance compliance frameworks or processes.
