Compliance Manager - Brokerage - UK Based
Compliance Manager - Brokerage - UK Based
Posted on :
12-08-2025
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1 Vacancy
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Job Description
Our client an international brokerage firm is hiring a compliance manager to be based in London. Reporting to the Head of Compliance this sole contributor role will:
- Provide all round compliance support and ensure compliance policies and procedures are up to date and complied with.
- Be the internal go to person for day-to-day compliance advisory questions and to be the trusted adviser for business units and the management team.
- Update business units on an ongoing basis on regulatory change and interpretation.
- Collaborate and maintain good relationships with colleagues and external parties.
- Be the compliance specialist in the project team(s) for the more complex regulatory driven implementations e.g. Mifir/EMIR reporting requirements.
- Assist with the implementation and management of the compliance risk based monitoring plan.
- Support and guide the business units with implementation of solutions and ensure actions are tracked to completion.
- Advise Management on regulatory control matters.
- Provide accurate and concise management information reporting.
- Advise front office and sign off on trading and regulatory issues.
- To conduct employee compliance related training including inductions product education and periodic refreshers.
- Implement the SMCR certification process and its all related framework
- Manage the standard compliance registers including but not limited to gifts/entertainment on line training outside business interests and annual declarations.
To qualify you must be an experienced compliance professional ideally with brokerage firm experience with the following experience and exposure:
- Practical knowledge of the commodities derivative market essentially base metals OTC commodities and FX markets.
- Strong knowledge of the regulatory requirements of LME and EMIRMiFID2 SMCR IFPR and Dodd Frank.
- Strong knowledge of rules and guidance in respect of Due Diligence for corporate entities.
- Practical experience of FCA rules including Conduct of Business Sourcebook (COBS) Senior Management Arrangements Systems and Controls (SYSC) Market Conduct (MAR) and Supervision (SUP).
- Proactive in refining and enhancing policies and procedures to support the business as it expands.
- A team player you must be able to work discreetly and maintain confidentiality.
- To regularly engage with front office colleagues and agents as well as regulatory bodies.
Employment Type
Full Time
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