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Compliance Officer - UK
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Role Overview
We are seeking a detail-oriented and proactive Compliance Officer to join a fast-growing global fintech company specializing in trading and financial technology solutions. Based in the UK, this role will play a key part in ensuring the firm operates in full compliance with UK regulatory requirements while supporting the continued expansion of a global trading business. The successful candidate will work closely with senior management, operations, and client-facing teams to maintain strong compliance and governance frameworks.
Key Responsibilities
- Support the development, implementation, and maintenance of the firm’s compliance framework in line with FCA requirements
- Monitor regulatory developments and assess their impact on business operations and policies
- Ensure adherence to AML, KYC, CDD, and financial crime prevention regulations
- Conduct client due diligence reviews and ongoing monitoring activities
- Act as a point of contact for regulatory queries and internal compliance matters
- Assist with regulatory reporting, audits, and internal reviews
- Review and approve client onboarding documentation and account activity
- Support compliance training and awareness programs across the organization
- Investigate potential breaches and support remediation actions
- Maintain accurate compliance records and documentation
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Requirements
Qualifications and Experience
- Bachelor’s degree in Law, Finance, Business, or a related field
- 2-3 years of experience in a compliance role within fintech, trading, brokerage, or financial services
- Strong knowledge of UK regulatory requirements, including FCA rules
- Solid understanding of AML, KYC, CDD, and financial crime frameworks
- Experience working with trading platforms or financial products is an advantage
- Held previous compliance functions and ready to be SMF16/17
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Skills and Competencies
- Strong attention to detail and analytical skills
- Excellent written and verbal communication skills
- Ability to work independently and manage multiple priorities
- Strong stakeholder management and cross-functional collaboration skills
- High ethical standards and sound professional judgment
- Proficient in compliance monitoring tools and documentation system
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