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 Analyst to join our rapidly growing global workforce in London. This role will have a great deal of emphasis on the general Compliance aspects as well as the documentation function. The Compliance Analyst support the Globl Head of Compliance to ensure the firm exceeds its expectations and nurtures a culture of strong Compliance and Risk Management.
- Act as the first line compliance contact for the regulated entities.
- Develop and maintain compliance policies and processes in line with regulatory developments, business, and operational changes.
- Record and respond to client complaints and preparing complaints related management information.
- Review and approve financial promotions.
- Stress testing of procedures, systems, and controls in line with regulatory requirements
- Be abreast and aware of new regulations, including regulatory and industry changes and implement changes where relevant
- Plan and undertake the execution of compliance desk reviews/risk-based monitoring in accordance with an established review plan
- Review audit and regulatory findings; identify key issues for risk rating purposes
- 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 as appropriate
- Draft, write, oversee, and manage all Policy and Legal documentation
- Support maintenance of all regulatory filings and prepare for regulatory visits
- Manage account opening queries including KYC requirements, corporate applications, and PEP/Sanction screening.
- Maintain professional development licenses and certifications, including all regulatory/legislative training
- Experience working within the FX, CFDs, Cash equities and financial derivatives
- Higher education degree in Legal studies; Master’s degree or above is desirableor English Language
- Minimum 2-3 years post-qualification experience in a financial services environment
- Strong working knowledge of International financial services regulations and requirements such as MiFID, FCA ESMA, ASIC among others
- Working experience with corporate governance matters and securities law
- Experience with change management