Compliance Director UK

3 days ago


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

**Job Title:** Compliance Director UK

We are seeking an experienced Compliance Director to lead our UK-based compliance team. This role is pivotal in ensuring our firm's regulatory compliance with all applicable regulations.

**Key Responsibilities:**

  • Maintain up-to-date knowledge of FCA regulations and guidelines relevant to brokerage firms, ensuring full regulatory compliance.
  • Be the primary point of contact for regulatory audits and inquiries, maintaining strong relationships with regulatory bodies.
  • Oversee and enhance our policies and procedures, ensuring they remain current and effective.
  • Develop and implement compliance frameworks to ensure regulatory risk is mitigated.
  • Prepare and submit accurate and timely regulatory reports and filings.
  • Collaborate with the global compliance team to align practices and share best strategies.

**Requirements:**

  • Experience in holding SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) responsibilities.
  • Experience leading compliance functions within the financial services industry, preferably in a brokerage setting.
  • Deep knowledge of FCA regulations around derivatives and trading products, such as CFDs and FX.
  • Exceptional communication and interpersonal skills, with the ability to effectively interact with internal teams and regulatory authorities.
  • Relevant certifications, such as a CISI Diploma in Investment Compliance or an ICA Diploma in Anti Financial Crime, would be desirable and advantageous.

Our company offers a competitive salary, estimated at £80,000 - £100,000 per annum, depending on experience.



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