ThinkMarkets is a global financial technology company, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we empower our clients to trade global markets 24 hours a day. Our mission is to bridge the gap between traders, investors, and platforms by enabling access to global markets and thousands of products, giving our clients the ability to trade the world in the palm of their hands. We use the latest technologies to provide seamless access to our proprietary trading platforms.
We are seeking a Compliance Analyst to join our growing global workforce in London. This role will focus on general compliance, documentation, and regulatory aspects to ensure we meet high standards of compliance and risk management. The Compliance Analyst will support the Global Head of Compliance in maintaining a robust culture of compliance across the organization.
Responsibilities:
- Act as the first line of compliance contact for regulated entities.
- Develop and maintain compliance policies and processes, ensuring alignment with regulatory updates and operational changes.
- Record and address client complaints, preparing relevant management information.
- Review and approve financial promotions.
- Conduct stress testing of systems, procedures, and controls in line with regulatory requirements.
- Stay informed on regulatory changes, implementing updates as needed.
- Execute compliance desk reviews and risk-based monitoring per an established plan.
- Ensure maintenance of policies, procedures, and controls to mitigate and manage regulatory risks.
- Support regulatory filings and prepare for inspections, audits, and regulatory visits.
- Maintain professional development certifications, including relevant legislative and regulatory training.
Requirements:
- 4-5 years’ post-qualification experience in a financial services environment.
- Experience in FX, CFDs, cash equities, and financial derivatives markets.
- In-depth knowledge of international financial regulations (e.g., MiFID, FCA, ESMA, ASIC).
- Experience in corporate governance and securities law.
- Familiarity with change management processes.
- A degree in Legal Studies (Master’s or higher is desirable).
- Strong written and verbal communication skills.
