Senior Compliance Manager
FinTech & Markets | Global FinTech Firm | London
About the Company
Our client is an established and rapidly growing FinTech firm with a strong international presence across key global financial markets. With innovation at the heart of its business, the firm delivers cutting-edge trading and investment solutions to a diverse institutional and retail client base worldwide.
Operating within a highly regulated environment, the business has built a reputation for combining technology-led products with strong governance, robust compliance standards, and a client-first culture. As part of its continued growth, the firm is seeking to appoint an experienced Senior Compliance Manager to join its UK compliance function.
The Opportunity
Reporting directly to the Head of Compliance, the Senior Compliance Manager will play a key role in providing proactive compliance advisory support across the business while helping to strengthen and evolve the firm’s compliance framework.
This position is ideally suited to an experienced compliance professional with a strong background in FinTech, Capital Markets, or Trading environments, and a detailed understanding of FCA regulations. The successful candidate will bring expertise across compliance advisory, policy and framework development, and financial promotions oversight.
The role offers significant exposure to senior stakeholders and the opportunity to work within a fast-paced, commercially focused, and internationally growing organisation.
Key Responsibilities
- Provide day-to-day compliance advisory support to the business across a range of regulatory matters
- Advise stakeholders on FCA regulatory requirements and expectations applicable to FinTech and Markets activities
- Review and approve financial promotions and marketing communications in line with FCA requirements
- Support the ongoing development and enhancement of compliance policies, procedures, and frameworks
- Conduct compliance risk assessments and assist in identifying and mitigating regulatory risks
- Monitor regulatory developments and communicate practical, business-focused guidance to stakeholders
- Assist in the execution and enhancement of the Compliance Monitoring Programme
- Support regulatory reporting and engagement with the FCA where required
- Maintain key compliance registers and governance documentation
- Partner with Product, Legal, Risk, and Commercial teams to ensure compliance considerations are embedded into business initiatives
- Support senior management on strategic compliance matters and regulatory change initiatives
- Contribute to fostering a strong culture of compliance across the organisation
Requirements
- Proven compliance experience within a FinTech, Capital Markets, Trading, Brokerage, or wider Financial Services environment
- Strong working knowledge of FCA regulations and the UK regulatory framework
- Demonstrable experience across:
- Compliance Advisory
- Policy and framework development
- Financial Promotions compliance
- Experience working within fast-paced and evolving business environments
- Strong understanding of regulatory risk management and compliance governance
- Excellent stakeholder management and communication skills
- Ability to operate independently while managing multiple priorities effectively
- Strong drafting and written communication skills
- High level of professionalism, commercial awareness, and integrity
Preferred Background
- Experience working within multi-jurisdictional or globally regulated firms
- Exposure to Markets, Trading Platforms, Digital Assets, Payments, or Investment products
- Professional compliance qualifications would be advantageous
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