financial service regulatory solicitor Work, Jobs in london (with Salaries)

Compliance Officer
CBCX Group Limited —London
- £70,000 - £120,000 a year
- Full-time
- Analysis skills
- Bachelor's degree
- Organisational skills
Quick apply
7d
Solicitor/Associate - Regulatory & Data
DAC Beachcroft —London
- Hybrid work
Quick apply
Trade and Government Affairs Associate/Senior Associate
DLA Piper —London
- Travel
8d
Transaction Legal - Vice President
Sumitomo Mitsui Banking Corporation —London
- Weekend availability
- Hybrid work
- English
- IT
- Communication skills
Solicitor
Osiris Solicitors —Canary Wharf
- Analysis skills
- Bachelor's degree
- In-person
Quick apply
Paralegal - Business Crime and Regulatory
JMW Solicitors —London
- Full-time
- Microsoft Office
- Business development
- Organisational skills
Quick apply
Solicitor
Lloyd's of London —London
- Full-time
- Hybrid work
- Communication skills
- Employee discount
- Gym membership
Legal Advisor to Regulatory Decisions Committee – 12-Month Fixed Term Contract
Financial Conduct Authority —London
- £76,600 - £95,500 a year
- Full-time
- Hybrid work
- Financial services
- Communication skills
- Annual leave
2d
Legal Counsel - Structured Derivatives and Digital Assets
Marex —London
- Full-time
- No degree
- Financial services
- Communication skills
Quick apply
8d
Legal Counsel | S4 | Legal & Corporate Governance, Treasury & Structured Finance Legal | London TSQ
A01 Santander UK plc —London
- Full-time
- Hybrid work
- Microsoft Powerpoint
- Microsoft Excel
- Communication skills
13d
AML Analyst
Russell Cooke —Putney
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
- Annual leave
Quick apply
Legal Counsel
Cambridge Associates LLC —London
- £127,100 - £170,300 a year
- Full-time
- Hybrid work
- Leadership
Employment Solicitor
RSM UK —London
- Full-time
- Supervising experience
Contracts Associate
University College London Hospitals NHS Foundation Trust —London
- £47,951 - £56,863 a year
- Full-time
- Organisational skills
8d
Legal Counsel, Product & Regulatory
Checkout.com —London
- Full-time
- Hybrid work
- Communication skills
- Time management
Quick apply
6d
Global Deputy DPO
Trustly —London
- Full-time
- English
- Master's degree
- Financial services
- Gym membership
- Flexible schedule
1d
Senior Legal Counsel – Regulatory UK
FNZ —London
- Full-time
- Financial services
- AI
Ashurst Reach Legal Consultant - Privacy & Data Protection Lawyer
Ashurst LLP —London
- Contracts
- Financial services
- Marketing
2d
T Level Examiner- Legal
Pearson —London
- Full-time
- Travel
- Teaching
Junior Lawyer
SEI1GLOBAL —London
- Full-time
- Hybrid work
- Organisational skills
- Financial services
- Communication skills

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Compliance Officer

CBCX Group Limited
London

Quick apply

Job details

Full-time
£70,000 - £120,000 a year
7 days ago

Qualifications

Law
Analysis skills
Bachelor's degree
Organisational skills
Financial services
Business
Communication skills

Full job description

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

Quick apply

Refine Your Search

financial service regulatory solicitor jobs in london

Compliance Officer

Solicitor/Associate - Regulatory & Data

Trade and Government Affairs Associate/Senior Associate

Transaction Legal - Vice President

Solicitor

Paralegal - Business Crime and Regulatory

Solicitor

Legal Advisor to Regulatory Decisions Committee – 12-Month Fixed Term Contract

Legal Counsel - Structured Derivatives and Digital Assets

Legal Counsel | S4 | Legal & Corporate Governance, Treasury & Structured Finance Legal | London TSQ

AML Analyst

Legal Counsel

Employment Solicitor

Contracts Associate

Legal Counsel, Product & Regulatory

Global Deputy DPO

Senior Legal Counsel – Regulatory UK

Ashurst Reach Legal Consultant - Privacy & Data Protection Lawyer

T Level Examiner- Legal

Junior Lawyer

I want to receive the latest job alerts for financial service regulatory solicitor in london

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