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Our client is a fast-growing and highly successful brokerage seeking a Compliance Officer to play a key role in its expanding operations. This is an exciting opportunity to join a dynamic, ambitious firm at the forefront of the financial markets.
Key Responsibilities
- Ensure compliance with FCA regulations, including KYC, AML, FOS, and TCF
- Implement and maintain compliance policies, ensuring regulatory best practices
- Conduct monitoring and oversight to mitigate regulatory risks
- Support regulatory reporting and liaise with external regulatory bodies as required
- Advise internal teams on compliance matters to support business growth
- Report directly to the Compliance Manager, contributing to a strong compliance culture
Key Requirements
- Strong understanding of retail broking compliance functions within FCA-regulated environments
- Technical expertise in CFD products is essential
- Knowledge of oil swaps, derivatives, and CASS is highly desirable
- Analytical mindset with excellent problem-solving skills
- Strong communication and stakeholder management abilities
- Be part of a high-growth brokerage with a strong industry reputation.
- Work in a fast-paced, dynamic environment where your expertise directly impacts the business.
- Gain exposure to cutting-edge financial products and global trading markets.
- Excellent career development prospects within a progressive, high-performing team.
This is a rare opportunity to join a thriving, ambitious brokerage and advance your compliance career in an exciting, fast-moving environment.
