Compliance Manager, ThinkMarkets

• 3-6 years compliance experience in FCA-regulated CFD, FX, or investment firms
• Strong working knowledge of UK financial services regulation (COBS, SYSC, MAR, MiFID II, EMIR, Consumer Duty)
• Hands-on experience with trade surveillance, AML controls, and financial promotions
• Proven ability to work across multiple business functions and wear different hats
• Excellent communication skills with ability to translate regulation into practical business guidance

Desirable

• We're seeking a Compliance Manager to join our London team - a hands-on, operationally-focused role perfect for an experienced compliance professional who thrives in fast-paced environments and enjoys designing, implementing, and applying solutions to complex regulatory challenges
• This isn't a people management position, but requires manager-level expertise, independent judgment, and the confidence to lead implementation of compliance frameworks across all business functions
• You'll be instrumental in both designing and executing our regulatory approach while ensuring the business can deliver growth safely and compliantly
• Provide authoritative guidance on FCA requirements including COBS, SYSC, MAR, MiFIDPRU, and Consumer Duty
• Design, implement, and apply compliance solutions across front office, operations, risk, IT, and marketing teams
• Lead the practical implementation of regulatory changes, from policy development through to operational deployment
• Ensure regulatory considerations are embedded in new product development and business initiatives
• Execute market abuse surveillance and transaction reporting under MiFIR and EMIR
• Investigate trading alerts and anomalies, escalating appropriately
• Ensure accuracy and timeliness of all regulatory submissions and returns
• Review and approve marketing materials, website content, and client communications
• Balance regulatory requirements with commercial objectives
• Maintain oversight of all customer-facing materials and disclosures
• Design, implement, and apply day-to-day KYC, EDD, sanctions, and PEP screening processes
• Lead implementation of enhanced onboarding procedures that reduce risk while improving client experience
• Apply robust AML controls across all client touchpoints with hands-on operational oversight
• Design, implement, and maintain compliance policies, risk registers, and management information systems
• Apply governance frameworks to Board and Committee reporting, including SMCR and ICARA requirements
• Lead implementation of audit recommendations and thematic review findings
• Support internal audits, thematic reviews, and regulatory examinations
• Design and implement regulatory complaint processes under DISP
• Apply root cause analysis methodologies and implement comprehensive remediation measures
• Lead Consumer Duty initiatives and consumer harm reduction programs
• Assist with FCA correspondence, information requests, and supervisory meetings
• Support preparation for regulatory visits and inspections
• Maintain positive, proactive relationships with regulators