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.