Job Summary
We are seeking an experienced Compliance Officer to support the firm’s compliance and regulatory obligations, with a primary focus on compliance with the requirements of the Financial Conduct Authority (“FCA”).
The successful candidate will assist in the implementation and maintenance of the compliance framework, provide day-to-day regulatory compliance support to the business, and contribute to ensuring the firm operates in accordance with applicable regulatory requirements and internal policies.
Candidates with experience in any international regulatory environments, will be viewed favourably.
Key Responsibilities:
Regulatory Compliance:
- Support the maintenance and enhancement of the firm’s compliance framework in accordance with FCA regulatory requirements.
- Provide day-to-day compliance advice to business and operational teams.
- Assist in ensuring compliance with relevant FCA Handbook requirements, including: SYSC, COBS, PRIN, SMCR, AML and financial crime obligations
- Monitor regulatory developments and assist in implementing regulatory changes where required.
- Maintain compliance policies, procedures, registers, and internal controls.
Compliance Monitoring:
- Monitor the execution of the Compliance Monitoring Programme (“CMP”).
- Conduct compliance reviews, testing, and monitoring activities.
- Identify compliance gaps and support remediation actions.
- Prepare compliance monitoring reports and management information for senior management and governance committees.
- Maintain records relating to breaches, incidents, complaints, conflicts of interest, and regulatory matters.
Financial Crime & AML:
- Support the firm’s AML, sanctions, anti-bribery and corruption, and financial crime compliance obligations.
- Conduct compliance reviews relating to onboarding, KYC, and customer due diligence processes.
- Assist with periodic reviews and ongoing monitoring activities.
Regulatory Reporting & Governance：
- Support regulatory filings and reporting obligations where applicable.
- Assist with responses to regulatory requests, audits, and internal reviews.
- Participate in governance and compliance committee processes.
- Deliver compliance training and awareness sessions to staff where required.
International Compliance Exposure：
- Support compliance matters involving overseas entities and cross-border activities where applicable.
- Coordinate with internal stakeholders and external advisers across multiple jurisdictions.
Qualifications & Experience
Essential
- Bachelor’s degree in Law, Finance, Business, Risk, or related discipline.
- Relevant compliance experience within an FCA-regulated financial services environment.
- Good understanding of FCA regulatory expectations and compliance frameworks.
- Experience in compliance monitoring, advisory, or regulatory support functions.
- Knowledge of AML and financial crime regulatory requirements.
- Strong analytical, organisational, and communication skills.
- Ability to manage multiple priorities and work independently.
Preferred
- Experience within international financial services businesses or group structures.
- Relevant professional qualifications, such as: ICA，CISI，ACAMS，Exposure to SMCR governance frameworks.
Personal Attributes
- Strong attention to detail
- Professional and ethical approach
- Good stakeholder management skills
- Practical and solution-oriented mindset
- Ability to work collaboratively across teams and jurisdictions
Preferred Industry Background
Experience in one or more of the following sectors would be advantageous:
- CFDs broker
- Securities / broker-dealer
- International financial services
Job Type: Full-time
Pay: £70,000.00-£120,000.00 per year
Application question(s):
- How many years of experience in CFD industry
Licence/Certification:
- Barrister or solicitor qualification (preferred)
Work Location: In person
