ThinkMarkets is a global online brokerage firm, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we allow our clients to trade the world 24-hours a day. Our mission is to disrupt the brokerage industry by allowing access to global markets and thousands of products to allow our clients to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms. 

We are seeking a Compliance Manager to join our rapidly growing global workforce in London. The Compliance Manager will oversee the day-to-day functions and operations of UK compliance working alongside the Head of Compliance, the candidate will work on enhancing and developing best practices and procedures that will be carried out through the global organization. This position is well-suited to an individual that is looking to grow into a management and leadership function.  

Responsibilities:  

  • Plan and undertake compliance desk reviews and risk-based monitoring in accordance with an established review plan 
  • Manage thematic reviews of Compliance topics across the business 
  • Review audit and regulatory findings; identify key issues for risk rating purposes 
  • Stay abreast of current business developments and regulatory issues that may impact the risk environment of the firm 
  • Maintain sufficient policies, procedures, systems, records, and controls to identify, mitigate, prevent and manage regulatory risk 
  • Contribute to on-going work to ensure that the principles of TCF are being met 
  • Assist with handling of the PAD policy and ensure employees are notifying compliance  
  • Support maintenance of all regulatory filings and prepare for regulatory visits  
  • Identify and deliver training on regulatory topics across the business; manage the administration of the online training system 
  • Maintain professional development licenses and certifications, including all regulatory/legislative training 

Requirements:  

  • Experience working within the FX, CFDs, and Cash Equities space  
  • Higher education degree in Legal studies; Master’s degree or above is desirable 
  • Minimum 4-6 years post-qualification experience in a financial services environment 
  • Strong working knowledge of UK financial services regulations and requirements 
  • Working experience with corporate governance matters and securities law 
  • Strong working knowledge of UK financial services regulations 
  • Demonstrated experience in and passion for financial regulations and compliance, and technology 
  • Proactive and hands on 

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