Compliance Analyst – 12 month FTC – Brokerage

This is an exciting opportunity for a Compliance Analyst to join a leading organisation in the financial services industry on a 12-month fixed-term contract. The role is based in London and involves supporting the Risk & Compliance department in ensuring regulatory adherence and mitigating compliance risks.

Client Details

Broker / Dealer – International Capital Markets

Description

• Supporting the Compliance Monitoring Programme (CMP), including thematic reviews and control testing
• Providing advisory support to the business on FCA rules and internal policies
• Assisting with financial crime matters, including AML / KYC queries and escalations
• Monitoring employee conduct controls (e.g. PA dealing, conflicts of interest, gifts & hospitality)
• Maintaining compliance logs, registers, and records
• Supporting regulatory reporting and filings
• Assisting with policy and procedure updates in line with regulatory developments

Profile

• 2-5 years’ experience in a Compliance role within an FCA-regulated firm
• Experience in a Broker/Dealer, investment firm, or trading environment preferred
• Strong understanding of:
  • FCA regulations (e.g. SYSC, COBS)
  • General compliance frameworks and controls

Job Offer

• Competitive salary of 50,000 per annum.
• 12-month fixed-term contract with potential for future opportunities.
• Opportunity to work in the financial services industry in London.

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