Compliance Officer - 12 month FTC

Compliance Officer - 12-Month FTC

A highly regarded, international broker-dealer (institutional not retail) 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.

• 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.

• 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.

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