Compliance Risk Analyst

3 weeks ago

London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full time
Position Overview

Coopman Search & Selection | B Corp™ is excited to announce an opportunity for a Compliance Risk Analyst within a leading global foreign exchange brokerage. This role is essential in supporting daily compliance operations and enhancing the existing Compliance Monitoring and Surveillance Framework.

Key Responsibilities:

  • Build and maintain strong relationships with front office personnel to improve their comprehension of regulatory responsibilities.
  • Oversee front office activities to ensure compliance with regulations, addressing issues as they arise and implementing necessary corrective measures.
  • Perform compliance evaluations and audits of front office functions.
  • Assess controls to verify that business practices align with regulatory standards.
  • Serve as the primary contact for general regulatory inquiries, offering guidance and support to the organization.
  • Create management information reports detailing surveillance, communication, and training initiatives.
  • Lead remediation efforts for compliance deficiencies identified by the second line of defense.
  • Assist in aligning policies and procedures with actual operational practices.
  • Support various compliance tasks and cover team responsibilities as needed.
  • Encourage a culture of ethical conduct and compliance throughout the organization.

Core Competencies & Experience:

  • Experience in the Compliance department of a regulated investment entity.
  • Proven track record of providing compliance guidance to the business and implementing solutions to strengthen first line defenses.
  • In-depth knowledge of FCA regulations, as well as MiFID II, MiFIR, and EMIR rules and guidance, with the ability to anticipate future regulatory changes.
  • Strong understanding of the regulatory landscape for foreign exchange and payment firms.
  • A degree is required, and professional qualifications such as CISI or ICA diploma are preferred.
  • Ability to collaborate effectively within a team and cultivate positive relationships with stakeholders across various business lines and levels of seniority.

This position is ideal for a compliance professional with experience in a regulated investment environment, seeking to join a cohesive team with broad responsibilities that will significantly influence the organization's compliance framework.

As a Certified B Corporation™, we adopt a unique approach to business. Recognized globally for our commitment to positive impact, we prioritize the interests of all stakeholders to foster sustainable growth. As a Great Place to Work™, we strive to create an environment that promotes professional development and teamwork.

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