Compliance Manager Compliance Manager …

in London, United Kingdom
Temporary, Full time
Last application, 23 Nov 20
in London, United Kingdom
Temporary, Full time
Last application, 23 Nov 20
LMA Recruitment currently partner an award-winning online trading brokerage company who provide Forex Trading and other related services within the Asian markets. Due to continued success, they are expanding to the London market and require an experienced Compliance Manager (within the trading brokerage space) to help launch the company here in London.

The ideal person will be integral to the set up of the London arm, helping obtain the required licences to trade. Once the original set up is complete, this role will be responsible for all compliance matters, working in collaboration with the wider compliance team, based in Singapore.

The Compliance team provides coverage of regulated entities and products to address regulatory issues, ensuring compliance with current/developing rules and regulations, and corresponds with regulators. The team will provide Compliance coverage of the organisation’s electronic trading activities both in Asia Pacific region, and now London – and the EMEA markets.

Main duties:

  • Implement and maintain the firm’s Compliance Program, including policies and procedures.
  • Provide Compliance coverage of the firm’s electronic trading platforms and products, including handling regulatory reporting, Compliance related queries, alerts and incidents.
  • Represent the London/EMEA Compliance team to participate in, and work with other business and support functions on, major business proposals and regulatory change initiatives.
  • Provide Compliance advice to the business and support functions to ensure Compliance with regulatory and company requirements and standards.
  • Prepare and deliver Compliance training addressing employee needs and Compliance requirements as well as enhancing employee awareness and knowledge of regulatory requirements and sensitivities.
  • Coordinate internal audits and regulatory inspections, including responses to regulatory inquiries and surveys.
  • Implement appropriate Compliance controls and tools, including working with Compliance technology support and other internal functions to make enhancements and address any gaps identified.
  • Assist in other compliance projects and initiatives relevant to the Asia Pacific Compliance team.

You'll need to have:

  • A Bachelor’s degree in Law, Finance, Accounting, Business Administration, Economics or equivalent.
  • At least 5 years of relevant Legal or Compliance experience in a regulated financial institution.
  • Relevant experience in covering electronic trading and financial markets, particularly in relation to currencies
  • Understanding of financial regulations in South Asia countries. Experience in providing legal advice in financial regulations would be advantageous.
  • Experience in communicating with regulators and/or in supporting responses to regulatory enquiries.
  • Experience in drafting policies, procedures and manuals as well as preparing reports for regulatory bodies and internal management.
  • Ability to work well in a team with strong technical skills to work in a fast pace, technology driven environment.


This opportunity will be initially offered as a contractor, with a view to converting permanently ASAP, so we are ideally looking for IMMEDIATE STARTERS please.


If you feel you have the necessary skills and experience for this role, please send your CV today to be considered.


With regret, due to the volume of CVs we receive, only suitable candidates will be contacted.




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