Compliance Officer – Retail Brokerage

Direct message the job poster from MW Recruitment Limited

Our client is a leading brokerage firm seeking a Compliance Officer to support regulatory compliance and risk management within its retail broking function.

Key Responsibilities:

• Ensure compliance with FCA regulations, including KYC, AML, FOS, and TCF.
• Assist in implementing and maintaining the firm’s compliance policies and procedures.
• Conduct monitoring and oversight to mitigate regulatory risks.
• Support regulatory reporting and liaise with external regulatory bodies as required.
• Provide guidance to internal teams on compliance matters.
• Report directly to the Compliance Manager and assist in maintaining a robust compliance framework.

Key Requirements:

• Strong understanding of retail broking compliance functions within FCA-regulated environments.
• Technical expertise in CFD products is essential.
• Knowledge of oil swaps, derivatives, and CASS is highly desirable.
• Strong analytical skills with attention to detail.
• Excellent communication and stakeholder management skills.

Seniority level

Associate

Employment type

Full-time

Job function

Other

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