Compliance Officer - eFinancialCareers - #2112075

Overview

We are an FCA-regulated broker-dealer headquartered in London. The firm is active in international equities, with particular strength in cross-border capital markets activities, including agency brokerage and participation in equity and fixed income underwriting transactions.

We are seeking a motivated and high-potential Compliance Officer to join our team. This is a unique opportunity to work in a lean, high-impact environment with direct exposure to senior leadership, including the CEO and General Counsel.

The role is designed for an individual with solid hands-on experience in capital markets compliance who is looking to take the next step toward a senior compliance leadership position, with a structured pathway to assume SMF16 (Compliance Oversight) responsibilities within approximately two years, subject to performance and regulatory approval.

Key Responsibilities

1. Support and enhance the firm’s compliance framework in line with FCA requirements
2. Provide day-to-day compliance advisory to front office and management on:
3. Equities and fixed income brokerage activities
4. Capital markets transactions, including underwriting
5. Work closely with the CEO and General Counsel, providing timely and practical compliance input on business decisions
6. Monitor regulatory developments and assess their impact on the business
7. Maintain and update policies and procedures appropriate for a small, agile organisation
8. Conduct compliance monitoring and surveillance activities
9. Support regulatory reporting and ensure timely and accurate submissions
10. Engage with the FCA and other regulators, including handling queries and requests
11. Contribute to compliance training and promote a strong compliance culture across the firm

Candidate Profile

Experience Required:

1. Minimum 5 years (ideally 10+ years) of relevant experience in compliance, legal, or regulatory roles within:
2. Securities firms / broker-dealers
3. Investment banks
4. Experience covering equities and/or fixed income capital markets activities, including brokerage and underwriting

Regulatory Exposure:

1. Strong working knowledge of FCA regulations relevant to capital markets businesses
2. Experience engaging with regulators (e.g., FCA), including handling regulatory communications
3. Career Motivation:
4. Not currently an SMF16 holder, but demonstrates clear potential and ambition to progress into a senior compliance leadership role
5. Strong commitment to building a long-term career in compliance

Mindset & Skills:

1. Comfortable working in a small firm environment with broad responsibilities and high visibility
2. Proactive, hands-on, and able to operate with a high degree of autonomy
3. Strong analytical judgement and communication skills
4. High integrity and professionalism