Company Overview
EC Markets is a globally recognised financial services provider offering multi-asset trading solutions to institutional and retail clients. With a strong regulatory framework and commitment to transparency, EC Markets delivers cutting-edge trading technology, deep liquidity, and exceptional client service across international markets.
Role Purpose
Support the Head of Compliance in delivering compliance advisory across the business, partnering with senior management and cross-functional teams including Product, Legal, and Operations.
The role focuses on providing practical and robust regulatory guidance, strengthening compliance frameworks, and ensuring effective management of conduct and financial crime risks across global operations.
Key Responsibilities
* Support the Head of Compliance in compliance advisory activities across the business
* Partner with senior stakeholders and cross-functional teams to provide regulatory guidance
* Assist in developing and implementing compliance frameworks and controls
* Manage and enhance compliance policies, processes, and controls
Conduct & Regulatory Compliance
* Oversee conduct-related areas including:
o Product Governance
o PRIIPs
o Client Appropriateness
o Financial Promotions
o Consumer Duty
* Ensure alignment with MiFID II and FCA Handbook requirements
* Contribute to internal and governance reporting
Regulatory Change & Monitoring
* Monitor regulatory developments and assess business impact
* Conduct gap analyses and compliance reviews
* Coordinate implementation of regulatory changes
* Maintain accurate and up-to-date compliance documentation
Financial Crime (AML / CTF / Anti-Bribery)
* Act as subject matter expert on Anti-Bribery and AML/CTF
* Lead and support financial crime risk assessments
* Conduct regulatory horizon scanning
* Translate regulatory requirements into practical controls
* Embed financial crime risks into the Compliance Management Programme (CMP)
Third-Party Risk & Training
* Support and oversee third-party due diligence
* Review contracts to ensure appropriate AML and anti-bribery protections
* Drive awareness of financial crime risks across regions
* Deliver compliance and AML training sessions
General Compliance Support
* Approve marketing materials where required
* Support wider compliance team activities as business needs evolve
* Collaborate with local compliance teams to ensure consistent implementation
Essential Requirements
* Minimum 5+ years' experience in compliance advisory and financial crime
* Recognised subject matter expertise in Anti-Bribery and AML/CTF
* Strong knowledge of regulatory frameworks including:
o UK Bribery Act
o FATF Guidance
o AML/CTF regulations
* Deep understanding of FCA expectations, including:
o Conduct Risk
o Consumer Duty
* Comprehensive knowledge of FCA Handbook (e.g. COBS, PERG, SYSC, PROD, DISP)
* Proven experience working across multiple jurisdictions
* Experience in:
o Risk assessments
o Policy development
o Control design and implementation
* Strong stakeholder management and influencing skills
* Relevant degree and/or professional qualification (e.g. ICA)
* Fluency in English
Desirable
* Additional language skills
* Experience in global financial services environments
Benefits
* Competitive salary and performance-based bonus
* Private healthcare
* Pension contribution scheme
* Professional development and training support
* Dynamic and collaborative working environment
* Opportunities for career progression within a growing global firm
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