Compliance Officer – Compliance Advisory Team
Location: London, UK
Department: Compliance – Advisory
Reporting to: Head of Compliance Advisory
Jurisdictional Coverage: UK
Are you an experienced compliance professional with a strong understanding of financial regulations and a keen eye for detail? We are looking for a Compliance Officer to join our dynamic Compliance Advisory team and help us ensure regulatory excellence across our UK operations.
About the Role:
As a Compliance Officer, you'll play a critical role in advising the front office and business units on regulatory requirements, conducting thematic and desk-based reviews, and supporting internal investigations. You’ll be at the heart of ensuring our regulatory obligations are met while helping to foster a culture of compliance.
Key Responsibilities:
* Provide regulatory support and guidance to internal stakeholders.
* Conduct risk-based regulatory reviews and contribute to the Compliance Monitoring Programme.
* Produce detailed reports, track issues, and ensure timely remediation.
* Liaise with front office teams and other departments to identify and mitigate compliance risks.
* Support the delivery of Market Abuse training and monitoring activities.
* Assist with regulatory registrations and market abuse surveillance.
* Contribute to internal and external investigations as required.
* Provide input into risk assessments and support the broader Compliance Risk Management Framework.
What We're Looking For:
* Previous experience in a Compliance role, preferably within commodity markets or a front office environment.
* Strong working knowledge of FCA regulations and financial products/services.
* Analytical mindset with the ability to assess risks and propose solutions.
* Excellent communication and report writing skills.
* Organised, detail-oriented, and capable of working independently or as part of a team.
* Proficiency in MS Office; familiarity with trading platforms (e.g. Bloomberg, Fidessa) is a plus.