Compliance Officer - eFinancialCareers

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