Average Compliance Officer salary in London

Our client is a fast-growing and highly successful global brokerage, recognised for its dynamic, high-performance environment and strong market presence in retail and institutional trading. As part of their continued growth, they are seeking Compliance Officers to join the team and support the firm’s robust compliance framework across a broad range of products, including CFDs, oil swaps, derivatives, and CASS. These roles are ideally suited to individuals with experience in retail brokerage or trading environments, comfortable working in an office-based, high-intensity setting from 8 am to 6 pm. Key Responsibilities Perform daily compliance monitoring and surveillance activities across retail and institutional business lines Handle account opening reviews, ensuring thorough KYC and AML checks in line with FCA requirements Maintain accurate records and documentation to support regulatory reporting and internal audit readiness Support ongoing transaction monitoring and escalate suspicious activities as appropriate Assist in drafting, reviewing, and maintaining compliance policies and procedures Contribute to regulatory reporting processes and respond to regulatory requests Collaborate with other departments to promote a strong culture of compliance throughout the business Carry out routine, process-driven compliance tasks critical to daily operations Key Requirements Experience in a compliance role within an FCA-regulated environment, ideally in a brokerage or trading firm Background in one of the following areas: Retail trading, with knowledge of CFDs and similar products Trading operations, ideally with exposure to energy derivatives (oil experience a plus but not essential) Strong attention to detail and ability to manage high volumes of operational tasks Good understanding of FCA regulatory requirements including KYC, AML, FOS, and TCF Comfortable working in a high-paced environment with tight deadlines Excellent communication and organisational skills Why Join? Join a market-leading global brokerage with ambitious growth plans Gain exposure to a wide range of products and regulatory topics Work alongside experienced professionals in a collaborative, high-performance environment Flexible engagement: opportunities available on either a day-rate contract basis or fixed-term contract, depending on preference This is an excellent opportunity for compliance professionals looking to deepen their experience in a fast-paced trading environment and contribute to a firm renowned for its global reach and strong market position.

An exciting opportunity has arisen for a Compliance Officer to join a regulated financial services provider offering a range of banking solutions to both private and institutional customers with international connections. As a Compliance Officer, you will be supporting the second line of defence in compliance oversight and ensuring adherence to financial crime prevention frameworks. This is a 3-month fixed-term contract (FTC) role with the possibility of extension to 6 months, offering a pro-rata salary of up to £45,000 along with benefits. You will be responsible for: Conducting compliance risk assessments to identify gaps and areas of concernOverseeing adherence to regulatory obligations and internal compliance policiesDelivering independent reviews as part of a Compliance Monitoring ProgrammePreparing findings reports for senior management and relevant governance forumsTracking action points from reviews and following up on implementationAssisting in managing regulatory communications and updatesSupporting the development and maintenance of compliance-related trackersAdvising internal teams on regulatory obligations relating to financial crime preventionReviewing and updating internal policies, procedures, and governance documentsSupporting regulatory horizon scanning and maintaining the Compliance calendar and regulatory mapping trackersAssisting in the preparation of board and committee meeting materials, including background papers and MIProviding second-line reviews of compliance-related policies across business and support functionsPerforming administrative tasks related to the Financial Crime Compliance department What we are looking for: Previously worked as a Compliance Officer, Compliance Analyst, Compliance Monitoring Officer, Compliance Manager, Compliance Associate, Financial Crime Officer, Compliance Consultant, Compliance Specialist, Risk and Compliance Officer, Risk and Compliance Analyst, Compliance Risk Officer or in a similar role.Practical experience applying compliance regulations within financial institutionsClear understanding of compliance-related risks and associated responsibilitiesStrong knowledge of UK regulatory frameworks relevant to financial servicesAbility to monitor and interpret regulatory developments affecting the organisationEffective communicator with strong interpersonal skillsExperience working in a Conduct role under SM&CR is desirableUnderstanding of the FCA's Individual Conduct Rules and how they apply in a regulated environment This is a great opportunity for a Compliance Officer to join a regulated and dynamic organisation in a pivotal compliance role. Important Information: We endeavour to process your personal data in a fair and transparent manner. In applying for this role, Additional Resources will be acting in your best interest and may contact you in relation to the role, either by email, phone or text message. For more information, see our Privacy Policy on our website. It is important you are aware of your individual rights and the provisions the company has put in place to protect your data. If you would like further information on the policy or GDPR, please contact us. Additional Resources are an Employment Business and an Employment Agency as defined within The Conduct of Employment Agencies & Employment Businesses Regulations 2003.

Purpose of Role/Job Overview We are seeking a proactive and detail-oriented Compliance Officer to join our clients forward thinking Compliance team. This role is critical in ensuring our clients operations remain compliant with regulatory requirements, internal policies, and insurer expectations. You will play a key role in quality assurance, product governance, and conduct oversight, while supporting the business in maintaining high standards of compliance and customer care. Tasks and Objectives Responsible for supporting the Head of Compliance, dealing with various compliance-related tasks and requests, including but not limited to: Quality Assurance: Review and assess insurance documentation for accuracy, completeness, and compliance with internal standards, including policy wordings and version control. Service Level Agreements (SLAs): Ensure timely delivery of compliance support for Governance and Agency functions. Includes managing daily workflow and queries from the business, brokers and insurers efficiently. Insurer and Binder Management: Oversee compliance aspects of insurer relationships, binder agreements, and conduct requirements. Maintain and produce regular Binder Management Summaries. Audit Support: Assist in the completion of insurer audit recommendations and ad-hoc data gathering for audits. Complaints Handling: Oversee complaints management, including liaison with insurers and brokers, maintaining the Complaints Log, contributing to regular reports and conduct root cause analysis. Voidance/Cancellation Letters: Contribute to the writing of insurer cancellation letters and obtain insurer approval to issue Consumer Duty: Manage the Voidance/Cancellation Log, analyse Conduct MI and Team SLAs, and summarise demonstrable case studies in line with Consumer Duty obligations. Vulnerable Customers: Maintain the Vulnerable Customer Log and produce quarterly returns for insurers. Compliance Policies: Reviewing and monitoring the application of bespoke internal policies and procedures. Governance Registers: Oversee registers and provide annual reports for Breaches, Fitness and Propriety, Conflicts of Interest, Gifts and Hospitality, and Headshot Consent. Third-Party Approvals: Oversee the approval process and on-going due diligence for brokers, insurers, and suppliers. Sanctions Checks: Manage the sanctions screening process and ensure compliance with relevant regulations. Relationships: Building effective working relationships with internal and external stakeholders: brokers, customers, insurers, underwriters and senior managers. Administration: Timely, accurate and efficient processing of information into the database and filing systems. Attending and organising meetings for the Compliance team, and minute-taking as required. Answering incoming calls, taking messages and re-directing calls as required. Personal Profile Experience Minimum 5 years of experience in the insurance industry At least 3 years in a compliance or compliance-related role Strong understanding of the MGA and wholesale insurance market; prior experience in an MGA is highly beneficial. Skills/Abilities Excellent communication and stakeholder management skills. Strong organisational skills and attention to detail. Ability to work independently and collaboratively in a fast-paced environment. IT literate with experience of Word, Excel, PowerPoint, and database software Ability to apply tact and discretion when dealing with confidential information Qualifications Cert CII or equivalent Minimum of three A-Levels (A-C or 5-9 grade) or equivalent with at least one A-Level in Business Studies, Maths, English or an analytical subject Minimum of five GCSE’s (A*-C or 5-9 grades, to include Maths and English) or equivalent Personal Attributes Personable, hard-working and confident Energetic, pragmatic and approachable