Senior Compliance Executive

2 weeks ago

London Area, United Kingdom Iopa Solutions Full time

Are you an experienced compliance professional with a deep understanding of CFD and FX trading? This is an exciting opportunity to join a globally recognised leader in online trading, known for its cutting-edge technology, strong regulatory framework, and commitment to transparency and security. This firm is at the forefront of the financial trading industry, offering a best-in-class platform that serves retail and institutional clients worldwide.

About the Company

This company is a well-established and highly respected provider of CFD and FX trading solutions, offering clients access to a wide range of global markets, including forex, indices, commodities, equities, and cryptocurrencies. With a reputation for industry-leading execution speeds, competitive pricing, and advanced trading tools, the company has positioned itself as a trusted partner for traders of all experience levels.

Compliance and regulatory adherence are core to the company's operations, ensuring that all trading activities align with international financial regulations. With offices across major financial hubs, the company continuously invests in compliance infrastructure to uphold best practices and maintain a secure trading environment. As part of their growth strategy, they are looking to expand their London-based compliance team with a highly skilled Senior Compliance Executive.

The Role

As a Senior Compliance Executive, you will play a crucial role in ensuring the company adheres to all applicable regulations while maintaining its reputation for transparency and integrity. You will be responsible for overseeing regulatory compliance processes, supporting internal teams, and working closely with regulators to ensure best practices in CFD and FX trading.

Key Responsibilities:

  • Monitor, assess, and ensure compliance with UK and international financial regulations, including FCA requirements.
  • Develop and implement compliance policies and procedures to align with regulatory developments.
  • Conduct risk assessments and compliance audits to identify and mitigate potential regulatory risks.
  • Liaise with regulatory authorities, including the FCA, and respond to regulatory inquiries.
  • Provide guidance and training to internal teams on compliance obligations and industry best practices.
  • Review and approve marketing materials, financial promotions, and client communications to ensure compliance with regulatory guidelines.
  • Support the onboarding and due diligence processes for clients, ensuring adherence to KYC and AML requirements.
  • Stay up to date with evolving regulations and assess their impact on business operations.
  • Collaborate with legal, risk, and operations teams to enhance compliance frameworks and reporting structures.

What You Need:

  • Proven experience in a compliance role within the CFD, FX, or broader financial trading industry.
  • Strong knowledge of UK financial regulations, particularly FCA rules governing CFD and FX trading.
  • Experience with KYC, AML, and risk management frameworks.
  • Excellent analytical and problem-solving skills with a keen eye for regulatory detail.
  • Strong communication skills, with the ability to work effectively across multiple departments and liaise with regulators.
  • Ability to thrive in a fast-paced, evolving regulatory environment.
  • Relevant compliance qualifications (e.g., ICA, CISI, or equivalent) are a plus.

Why Join?

  • Work for a globally recognised leader in CFD and FX trading.
  • Competitive salary package of up to £100,000, plus benefits.
  • Be at the forefront of compliance in an evolving regulatory landscape.
  • Gain exposure to international financial markets and regulatory frameworks.
  • London-based role with opportunities for career advancement in a high-growth organisation.

If you are a compliance professional looking to take the next step in your career within a leading online trading firm, apply now to be part of a high-performing team dedicated to excellence in financial regulation.

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