Compliance Officer

Location: London (3 days office / 2 days WFH)
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.
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