Compliance Generalist FTC

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 & Experience

Essential 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