Compliance Officer - Global Brokerage

Our client is a fast-growing and highly successful global brokerage, recognised for its dynamic, high-performance environment and strong market presence in retail and institutional trading. As part of their continued growth, they are seeking Compliance Officers to join the team and support the firm’s robust compliance framework across a broad range of products, including CFDs, oil swaps, derivatives, and CASS.These roles are ideally suited to individuals with experience in retail brokerage or trading environments, comfortable working in an office-based, high-intensity setting from 8 am to 6 pm.Key ResponsibilitiesPerform daily compliance monitoring and surveillance activities across retail and institutional business linesHandle account opening reviews, ensuring thorough KYC and AML checks in line with FCA requirementsMaintain accurate records and documentation to support regulatory reporting and internal audit readinessSupport ongoing transaction monitoring and escalate suspicious activities as appropriateAssist in drafting, reviewing, and maintaining compliance policies and proceduresContribute to regulatory reporting processes and respond to regulatory requestsCollaborate with other departments to promote a strong culture of compliance throughout the businessCarry out routine, process-driven compliance tasks critical to daily operationsKey RequirementsExperience in a compliance role within an FCA-regulated environment, ideally in a brokerage or trading firmBackground in one of the following areas:Retail trading, with knowledge of CFDs and similar productsTrading operations, ideally with exposure to energy derivatives (oil experience a plus but not essential)Strong attention to detail and ability to manage high volumes of operational tasksGood understanding of FCA regulatory requirements including KYC, AML, FOS, and TCFComfortable working in a high-paced environment with tight deadlinesExcellent communication and organisational skillsWhy Join?Join a market-leading global brokerage with ambitious growth plansGain exposure to a wide range of products and regulatory topicsWork alongside experienced professionals in a collaborative, high-performance environmentFlexible engagement: opportunities available on either a day-rate contract basis or fixed-term contract, depending on preferenceThis is an excellent opportunity for compliance professionals looking to deepen their experience in a fast-paced trading environment and contribute to a firm renowned for its global reach and strong market position.

Created: 2025-07-23