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
*Support and enhance the firm’s compliance framework in line with FCA requirements
*Provide day-to-day compliance advisory to front office and management on:
*Equities and fixed income brokerage activities
*Capital markets transactions, including underwriting
*Work closely with the CEO and General Counsel, providing timely and practical compliance input on business decisions
*Monitor regulatory developments and assess their impact on the business
*Maintain and update policies and procedures appropriate for a small, agile organisation
*Conduct compliance monitoring and surveillance activities
*Support regulatory reporting and ensure timely and accurate submissions
*Engage with the FCA and other regulators, including handling queries and requests
*Contribute to compliance training and promote a strong compliance culture across the firm
Candidate Profile
Experience Required:
*Minimum 5 years (ideally 10+ years) of relevant experience in compliance, legal, or regulatory roles within:
*Securities firms / broker-dealers
*Investment banks
*Experience covering equities and/or fixed income capital markets activities, including brokerage and underwriting
Regulatory Exposure:
*Strong working knowledge of FCA regulations relevant to capital markets businesses
*Experience engaging with regulators (e.g., FCA), including handling regulatory communications
*Career Motivation:
*Not currently an SMF16 holder, but demonstrates clear potential and ambition to progress into a senior compliance leadership role
*Strong commitment to building a long-term career in compliance
Mindset & Skills:
*Comfortable working in a small firm environment with broad responsibilities and high visibility
*Proactive, hands-on, and able to operate with a high degree of autonomy
*Strong analytical judgement and communication skills
*High integrity and professionalism