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 make it available for our clients to trade the world 24-hours a day. Our mission is to bridge the gap between traders, investors, and platforms by allowing access to global markets and thousands of products, thus providing our clients with the ability to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms.
We are looking for a Compliance Analyst to join our London Compliance team. This role is ideal for someone with experience in the online trading, Forex, CFD, fintech, or broader financial services industry, with a solid understanding of UK financial regulations, AML/KYC requirements, and financial crime prevention.
Working closely with the Compliance team and key stakeholders across the business, you will play an important role in supporting ThinkMarkets in meeting its regulatory obligations and maintaining effective compliance controls within an FCA-regulated environment.
Key Responsibilities
- Contribute to the delivery of the Compliance Monitoring Programme, including thematic reviews, desk-based reviews, and compliance checks across relevant business areas.
- Analyse compliance data and management information to identify trends, potential risks, and areas for improvement, escalating issues where appropriate and supporting practical recommendations.
- Provide day-to-day compliance guidance to internal stakeholders, responding to queries clearly and effectively while maintaining appropriate records.
- Support KYC, client onboarding, and ongoing customer due diligence processes, including the review of client documentation and escalation of potential compliance concerns.
- Support AML and financial crime controls, including transaction monitoring, sanctions screening, and compliance investigations.
- Maintain compliance registers, logs, and trackers, including complaints, training records, regulatory obligations, and policy review schedules.
- Support the preparation of regulatory submissions, compliance reports, and management information as required.
- Review financial promotions, marketing materials, and client communications to ensure alignment with applicable regulatory requirements and internal policies.
- Work closely with Operations, Payments, Risk, Customer Support, and other internal stakeholders to investigate and resolve compliance-related matters.
- Contribute to ad hoc compliance projects and business initiatives, helping to interpret regulatory requirements and translate them into practical, workable outcomes.
- Support compliance activities across ThinkMarkets' onshore and offshore entities and jurisdictions, as required.
Requirements
- 2+ years of experience in a Compliance, AML, KYC, Financial Crime, or Regulatory Compliance role within the online trading, Forex, CFD, fintech, or financial services industry.
- Experience working within an FCA-regulated financial services environment is highly desirable.
- Good understanding of AML/CFT regulations, KYC, CDD, EDD, sanctions screening, and financial crime controls.
- Familiarity with the FCA Handbook and UK regulatory requirements.
- Knowledge of financial markets and leveraged trading products, including Forex and CFDs.
- Strong analytical and investigative skills with excellent attention to detail.
- Ability to manage multiple priorities in a fast-paced environment.
- Excellent written and verbal communication skills.