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.
