Compliance Officer
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Job Description
Compliance Officer overseeing UK regulatory compliance framework, conducting monitoring and testing for FCA regulated activities. Supporting the firm’s compliance governance and training efforts in the UK market.
Responsibilities:
- Support the design, maintenance, and execution of the UK compliance monitoring programme covering regulatory obligations applicable to the firm’s regulated activities
- Conduct risk-based compliance monitoring reviews and thematic testing to assess the effectiveness of regulatory controls, processes, and governance arrangements
- Prepare monitoring reports and document monitoring findings, identify control weaknesses or areas for improvement, and support the tracking and remediation of identified issues
- Support oversight of the firm’s UK regulatory reporting obligations, ensuring submissions are completed accurately and on time
- Support the development, maintenance, and review of the firm’s UK compliance policies, procedures, and standards, ensuring policies remain aligned with regulatory requirements
- Deliver training on regulatory requirements, policy updates, and emerging compliance risks where appropriate
- Prepare compliance management information and reporting for internal governance forums
- Assist with the implementation of new regulatory requirements affecting the firm’s MiFID, EMI, and digital asset activities
Requirements:
- 5+ years’ experience in regulatory compliance within financial services
- Experience supporting firms subject to FCA regulation, ideally including MiFID firms, payments/EMI institutions, or trading platforms
- Experience working with compliance monitoring and testing frameworks
- Familiarity with FCA regulatory expectations for second line compliance oversight
- Experience supporting compliance policies and procedures
- Experience with regulatory reporting oversight or governance frameworks
- Strong analytical and written skills, with the ability to produce clear compliance documentation and reporting
Benefits:
- Flexible working hours
- Professional development opportunities
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