Compliance Officer - 12-Month FTC
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.