Jacobson Garner
Compliance Assistant
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Junior Compliance Analyst
Multi-national Financial Services (Brokerage focused) has created a Junior Compliance Analyst to join a small, hands-on compliance function. This is a generalist role suited to someone early in their compliance career who wants to broaden their exposure across regulatory compliance, AML/financial crime, and ad hoc project work.
You'll work closely with the Compliance Manager and gain direct exposure to FCA-regulated FS/brokerage operations.
Location
London, City
Working Hours
Full time (5 days in office)
Responsibilities
Compliance
- Support day-to-day compliance monitoring, including trade surveillance checks, personal account dealing reviews, and gifts & hospitality register maintenance
- Assist with regulatory reporting (e.g. FCA returns) and maintenance of the compliance monitoring programme
- Help maintain and update compliance policies and procedures in line with FCA rules (COBS, SYSC, MAR)
- Support onboarding and periodic review of client due diligence files
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AML / Financial Crime
- Assist with client CDD/EDD checks, including PEP and sanctions screening
- Support transaction monitoring alert review and escalation under the direction of the MLRO
- Help maintain the firm's AML risk assessment and SAR log
- Contribute to AML training rollout and record-keeping
Ad Hoc
- Assist with internal audits, regulatory horizon scanning, and implementation of new rule changes
- Support compliance input into new product/business initiatives
- Prepare MI and reporting packs for Compliance Committee and Board
- General support across the compliance function as priorities arise — this is a hands-on, varied role in a small team
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What We're Looking For
- 6 to 18 months experience in a compliance, AML, or financial crime role (in-house or advisory), ideally within brokerage, wealth management, or wider financial services
- Working knowledge of FCA regulatory framework and UK AML regulations (MLRs, JMLSG guidance)
- Strong attention to detail and comfortable managing multiple priorities in a small team
- Good written and verbal communication skills
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