Compliance Manager – UK

ThinkMarkets is a global multi-asset trading firm providing retail and institutional clients access to CFDs, FX, indices, and commodities through our proprietary ThinkTrader platform. As an FCA-authorised firm operating in a high-risk investment category, regulatory compliance is fundamental to our business model and client protection. 

We're committed to maintaining the highest standards of regulatory compliance while enabling business growth and innovation in one of the most dynamic sectors of financial services. 

The Role 

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. 

Key Responsibilities 

Regulatory Advisory & Implementation:  

• 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 

Market Surveillance & Reporting 

• 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 

Financial Promotions & Client Communications 

• 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 

AML & Client Onboarding 

• 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 

Governance & Risk Management 

• 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 

Complaint Management 

• 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 

Regulatory Relations 

• Assist with FCA correspondence, information requests, and supervisory meetings 
• Support preparation for regulatory visits and inspections 
• Maintain positive, proactive relationships with regulators 

Essential Requirements 

• 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 

What Makes You Stand Out 

• Ownership mentality - you take pride in seeing projects through to completion 
• Problem-solving approach - you ask insightful questions and deliver pragmatic solutions 
• Proactive mindset - always anticipating needs and staying ahead of deadlines 
• Commercial awareness - understanding business objectives while maintaining regulatory standards 
• Industry qualifications (ICA, ACAMS) or commitment to obtaining them 

What We Offer 

• Deep expertise development in one of the FCA's most closely supervised sectors 
• Broad business exposure across product, technology, operations, and client experience 
• Collaborative culture where your insights and contributions are valued 
• Core team visibility with direct impact on business outcomes from day one 
• Professional development opportunities in a fast-growing, innovative firm