Regulatory Compliance Analyst

4 weeks ago

Greater London, United Kingdom Coopman Search and Selection Full time

Coopman Search & Selection are delighted to partner with a globally recognised foreign exchange brokerage headquartered in London. Due to continued growth they are looking at bringing in a Regulatory Compliance Analyst to assist with day-to-day Compliance activities and continue to develop the existing Compliance Monitoring and Surveillance Programme.


Key Responsibilities:

  • Foster relationships with front office staff to enhance their understanding of regulatory obligations
  • Monitor front office operations for adherence to rules, escalate issues as needed, and implement corrective actions
  • Conduct compliance reviews and assessments of front office activities
  • Test controls to ensure business operations comply with regulatory requirements
  • Act as a first point of contact for general regulatory queries, providing advice and guidance to the business
  • Generate management information reports on surveillance, liaison, and training efforts
  • Lead remediation projects for areas of compliance weakness identified by the second line of defence
  • Contribute to the alignment of policies and procedures with actual practices
  • Assist with ad-hoc compliance tasks and coverage of team responsibilities
  • Promote a culture of conduct and compliance throughout the organisation


Core Competencies & Experience:

  • Experience of working within the Compliance function of a regulated Investment firm
  • Demonstrable experience of providing Compliance advice to the business as well as implementing solutions to bolster first line defences
  • Existing knowledge of FCA regulations along with MiFID II, MiFIR & EMIR rules and guidance and the ability to horizon scan for future developments
  • Strong knowledge of the regulatory environment for FX and Payments firms
  • Degree educated with professional qualifications of CISI or ICA diploma would be desirable
  • Ability to work strongly in a team and foster a positive relationship with stakeholders from different business lines and varying levels of seniority


This role would be perfectly suited for a Compliance professional with exposure of working in a regulated Investment firm, who would like to be part of a tight knit team with generalist responsibility which will have a real impact on the business' wider Compliance programme. If you would like to find out more about this role, please contact shane.cassidy@coopman.uk.


As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.

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