Compliance Professional

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Job Description

About the role

Join a high-performing compliance function supporting a regulated financial services business, offering autonomy, ownership of compliance workstreams, and exposure to governance, financial crime frameworks, and internal policy embedding.


Ideal candidate

You’re a 2–4+ year experienced financial services compliance professional who can operate independently.


Experience within the Appointed Representative regime is highly beneficial.


Exposure to FCA Senior Management Functions support, monitoring, or financial crime policy rollout is an advantage. You’re pragmatic, organised, able to juggle competing priorities, and comfortable escalating material risks when required.


Responsibilities

  • Provide regulatory and compliance guidance aligned to the FCA Handbook.
  • Draft, maintain, and embed internal compliance policies (financial crime, conduct, conflicts, reporting).
  • Handle day-to-day compliance queries with autonomy, escalating significant risks where appropriate.
  • Conduct monitoring, run compliance checks, and support practical risk mitigation.
  • Educate internal stakeholders on compliance obligations.


If this role is of interest to you, please click apply.

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Location:
City Of London
Job Type:
FullTime
Category:
Business

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