Compliance Officer
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Compliance Officer – 12-Month FTC
Location: London (3 days office / 2 days WFH)
A highly regarded, international broker-dealer is looking for a Compliance Officer to join the team on a 12-month FTC to cover maternity leave. This is a great opportunity for someone who enjoys a varied compliance role, working closely with senior stakeholders, and being part of a small, collaborative team.
What you’ll be doing
- Supporting the delivery of the Compliance Monitoring Plan.
- Handling SMCR tasks: annual certifications, record keeping, PA dealing, and FCA Connect filings.
- Assisting with regulatory reporting (FCA returns, Companies House filings).
- Carrying out communications monitoring (voice/e-comms) with an investigatory mindset.
- Preparing monthly Compliance & Risk MI for senior management.
- Contributing to Compliance Risk Assessments alongside senior team members.
- Supporting policy reviews, horizon scanning, and general compliance governance.
- Working with colleagues across the business, including trading and operations.
What they’re looking for
- Solid grounding in general compliance within financial services (approx. 3+ years).
- Understanding of MiFID, EMIR, and SFTR (field-level reconciliations beneficial).
- Comfortable with Excel and data-driven MI.
- Strong organisational skills and the ability to work independently without handholding.
- Someone stable, reliable, and keen to be part of a close-knit team.
- Academic background and the ability to research and interpret regulations.
Why this role?
- Broad exposure across compliance, risk, monitoring, and regulatory reporting.
- A supportive team culture with experienced colleagues to work alongside.
- A defined monthly rhythm to the work, giving structure and predictability.
- Hybrid working (3/2) and an engaging, multicultural environment.