Compliance Advisory Officer

JR United Kingdom; City Of London; On-site; GBP 40,000 - 70,000; Full time

Job summary

A leading company in the financial sector is seeking a Compliance Officer to join their Compliance Advisory team in London. The role focuses on ensuring regulatory compliance and supporting internal investigations. The ideal candidate will have prior experience in compliance, strong knowledge of FCA regulations, and excellent analytical and communication skills. This role is integral to maintaining high compliance standards across operations.

Qualifications

• Previous experience in a compliance role, preferably in commodity markets.
• Strong knowledge of FCA regulations.
• Proficiency in MS Office and familiarity with trading platforms.

Responsibilities

• Provide regulatory support and guidance to internal stakeholders.
• Conduct risk-based regulatory reviews and contribute to the Compliance Monitoring Programme.
• Produce detailed reports, track issues, and ensure timely remediation.

Skills

Analytical mindset

Communication

Report writing

Detail-oriented

Organisational skills

Tools

MS Office

Trading platforms (Bloomberg, Fidessa)

Job description

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Compliance Advisory Officer, london (city of london)

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Client:

BGC Group

Location:

london (city of london), United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

16.06.2025

Expiry Date:

31.07.2025

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Job Description:

Compliance Officer – Compliance Advisory Team

Location: London, UK

Department: Compliance – Advisory

Reporting to: Head of Compliance Advisory

Jurisdictional Coverage: UK

Are you an experienced compliance professional with a strong understanding of financial regulations and a keen eye for detail? We are looking for a Compliance Officer to join our dynamic Compliance Advisory team and help us ensure regulatory excellence across our UK operations.

About the Role:

As a Compliance Officer, you'll play a critical role in advising the front office and business units on regulatory requirements, conducting thematic and desk-based reviews, and supporting internal investigations. You’ll be at the heart of ensuring our regulatory obligations are met while helping to foster a culture of compliance.

Key Responsibilities:

• Provide regulatory support and guidance to internal stakeholders.
• Conduct risk-based regulatory reviews and contribute to the Compliance Monitoring Programme.
• Produce detailed reports, track issues, and ensure timely remediation.
• Liaise with front office teams and other departments to identify and mitigate compliance risks.
• Support the delivery of Market Abuse training and monitoring activities.
• Assist with regulatory registrations and market abuse surveillance.
• Contribute to internal and external investigations as required.
• Provide input into risk assessments and support the broader Compliance Risk Management Framework.

What We're Looking For:

• Previous experience in a Compliance role, preferably within commodity markets or a front office environment.
• Strong working knowledge of FCA regulations and financial products/services.
• Analytical mindset with the ability to assess risks and propose solutions.
• Excellent communication and report writing skills.
• Organised, detail-oriented, and capable of working independently or as part of a team.
• Proficiency in MS Office; familiarity with trading platforms (e.g. Bloomberg, Fidessa) is a plus.