Compliance Officer - Global Brokerage in City of London

Job description

Our client is a fast-growing and highly successful global brokerage, recognised for its dynamic, high-performance environment and strong market presence in retail and institutional trading. As part of their continued growth, they are seeking Compliance Officers to join the team and support the firm’s robust compliance framework across a broad range of products, including CFDs, oil swaps, derivatives, and CASS.

These roles are ideally suited to individuals with experience in retail brokerage or trading environments, comfortable working in an office-based, high-intensity setting from 8 am to 6 pm.

Key Responsibilities

• Perform daily compliance monitoring and surveillance activities across retail and institutional business lines
• Handle account opening reviews, ensuring thorough KYC and AML checks in line with FCA requirements
• Maintain accurate records and documentation to support regulatory reporting and internal audit readiness
• Support ongoing transaction monitoring and escalate suspicious activities as appropriate
• Assist in drafting, reviewing, and maintaining compliance policies and procedures
• Contribute to regulatory reporting processes and respond to regulatory requests
• Collaborate with other departments to promote a strong culture of compliance throughout the business
• Carry out routine, process-driven compliance tasks critical to daily operations

Key Requirements

• Experience in a compliance role within an FCA-regulated environment, ideally in a brokerage or trading firm
• Background in one of the following areas:
• Retail trading, with knowledge of CFDs and similar products
• Trading operations, ideally with exposure to energy derivatives (oil experience a plus but not essential)
• Strong attention to detail and ability to manage high volumes of operational tasks
• Good understanding of FCA regulatory requirements including KYC, AML, FOS, and TCF
• Comfortable working in a high-paced environment with tight deadlines
• Excellent communication and organisational skills

Why Join?

• Join a market-leading global brokerage with ambitious growth plans
• Gain exposure to a wide range of products and regulatory topics
• Work alongside experienced professionals in a collaborative, high-performance environment
• Flexible engagement: opportunities available on either a day-rate contract basis or fixed-term contract, depending on preference

This is an excellent opportunity for compliance professionals looking to deepen their experience in a fast-paced trading environment and contribute to a firm renowned for its global reach and strong market position.

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Part-time jobs

Published at

14-07-2025

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English