Senior Compliance Officer

Our Mission

We exist to empower individuals to build long-term wealth by reimagining how trading and investing work. Through innovative, client-centric solutions, we aim to enhance the overall investment experience.

With a large and growing global client base and significant assets under management, our growth reflects the trust we’ve built and our commitment to excellence. Our culture is fast-paced, high-performing, and driven by continuous innovation.

Purpose of the Role

As a Senior Compliance Officer, you will play a key role in supporting the Head of Compliance in ensuring the firm’s adherence to all applicable regulatory requirements in the United Kingdom, particularly under FCA regulations. You will act as a trusted advisor to the business, helping to embed a strong compliance culture while enabling commercial objectives.

Key Responsibilities

• Support and advise the business on day-to-day compliance matters, ensuring alignment with FCA regulations and internal policies
• Lead and perform compliance risk assessments, identifying, evaluating, and mitigating regulatory risks
• Prepare and review regulatory submissions and reports to the FCA
• Develop, enhance, and maintain compliance policies, procedures, and frameworks in line with evolving regulatory requirements and industry best practice
• Monitor and interpret regulatory developments, providing clear and actionable guidance to stakeholders
• Maintain and oversee key compliance registers, ensuring accuracy and completeness
• Contribute to strategic compliance planning and support senior management decision-making
• Act as a key point of contact during regulatory inspections and audits, liaising with auditors and regulators as required
• Execute and enhance the Compliance Monitoring Programme, including conducting thematic and desk-based reviews across the business
• Promote a culture of compliance and continuous improvement across the organisation

Requirements

• Bachelor’s degree in Law, Finance, Economics, or a related discipline
• Proven experience in a compliance role within financial services, ideally in a regulated UK environment
• Strong working knowledge of FCA rules and expectations
• Excellent analytical skills with strong attention to detail
• Ability to operate independently while collaborating effectively with cross-functional teams
• Strong stakeholder management and communication skills
• High level of professionalism, integrity, and accountability
• Excellent written skills, with experience drafting policies and regulatory communications
• Strong organisational skills with the ability to manage multiple priorities in a fast-paced environment