Compliance Generalist FTC (Maternity cover) Opportunity at a well-established, FCA-regulated financial services firm operating within the securities and brokerage sector, providing services to institutional clients in international markets. Paying up to £50,000pa for a 12 month period

About the Role
An opportunity has arisen for a Compliance Officer to join a financial services firm on a fixed-term basis to provide maternity cover. The successful candidate will support the Compliance function across a broad range of regulatory and monitoring activities, helping ensure adherence to applicable rules, regulations, and internal policies.
This role offers exposure to a wide range of compliance responsibilities within a regulated environment and plays a key part in promoting a strong compliance culture across the business.
Key Responsibilities*Support the Compliance team in delivering the Compliance Monitoring Programme, including areas such as transaction monitoring, personal account dealing, and gifts and entertainment registers
*Assist with onboarding and ongoing KYC/CDD processes for counterparties
*Conduct communications monitoring (voice and electronic), identify potential issues, and escalate where appropriate
*Support regulatory reporting, including preparation and submission of FCA returns
*Assist with Companies House filings and regulatory record-keeping
*Contribute to the preparation of management information and internal reporting
*Maintain accurate records of regulatory communications and compliance activities
*Support SMCR processes, including maintaining appropriate documentation
*Track and follow up on remedial actions to completion
*Provide guidance to the business on compliance policies and procedures
*Build and maintain effective working relationships across departments, including front office, operations, and senior management
*Contribute to ad hoc compliance projects as required
Regulatory & Governance Framework*FCA rules and relevant regulatory requirements
*Applicable international and European regulations
*Internal policies and procedures
*Internal and external audit requirements
Skills & ExperienceEssential Knowledge & Experience:
*Degree-level education or equivalent
*Minimum of 3 years’ experience in a compliance role within financial services
*Experience in compliance monitoring, regulatory reporting, KYC/CDD, and SMCR
*Strong understanding of FCA regulations and the regulatory environment
*Experience in a banking, brokerage, or similar regulated environment
*Good IT and systems skills
Key Competencies:
*Strong organisational and prioritisation skills
*Effective communication skills
*Ability to work independently and take ownership of tasks
*High attention to detail and quality focus
*Strong time management skills
*Commercial awareness and pragmatic approach
*Confident and proactive mindset
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates