Compliance Officer – 12 month FTC

🔒 Confidential Employer
Posted 7 May 2026
LOCATION
City of London
TYPE
Full-time
LEVEL
Mid-Senior level
CATEGORY
Legal
This employer holds a UK Home Office sponsor license — sponsorship for this specific role is at the employer’s discretion

SKILLS

Compliance Monitoring SMCR FCA Regulations Regulatory Reporting MiFID EMIR SFTR Excel

FULL DESCRIPTION

Compliance Officer – 12 month FTC

Location: City of London, Greater London, England (Remote) | Salary: £50k per year + benefits | Type: Permanent, Hybrid

Job Description

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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