Junior Compliance Officer (1-3-years’ experience) – Boutique City of London based Investment House

JR United Kingdom; City Of London; Hybrid; GBP 30,000 - 45,000; Full time

Job summary

A boutique investment house in the City of London is seeking a Junior Compliance Officer to support compliance frameworks and client onboarding. The role offers a dynamic environment with responsibilities in regulatory compliance and client due diligence, ideal for candidates with 1-3 years of experience. The company promotes a hybrid working model, combining remote and in-office work, and values proactive individuals committed to high standards.

Qualifications

• 1–3 years’ experience in compliance, preferably in financial services.
• Experience with client onboarding and regulatory due diligence.
• Knowledge of AML, KYC, and sanctions screening processes.

Responsibilities

• Monitor adherence to relevant regulations (e.g., FCA, DFSA).
• Perform due diligence checks including KYC, AML, PEP screening.
• Assist with internal audits and regulatory inspections.

Skills

Attention to detail

Organization

Time management

Strong communication

Education

Professional compliance qualification (e.g., ICA Certificate/Diploma)

Tools

Compliance monitoring systems

Onboarding platforms

Job description

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Junior Compliance Officer (1-3-years’ experience) – Boutique City of London based Investment House, London (City of London)

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Client:

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:

2

Posted:

23.05.2025

Expiry Date:

07.07.2025

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Job Description:

The Role

Junior Compliance Officer (1-3-years’ experience) – Boutique City of London based Investment House

Martis Search is representing a boutique City of London based Investment company seeking a Junior Compliance Officer with 1-3 years of compliance experience.

This role involves AML/KYC client onboarding, KYC remediation, regulatory compliance, financial crime, and general compliance responsibilities. It offers an excellent opportunity to gain broad compliance experience in a small team.

The successful candidate will support the implementation and maintenance of compliance frameworks and assist with onboarding new clients per regulations and internal policies.

The company has an entrepreneurial spirit, is dynamic and forward-thinking, launching new businesses, funds, and expanding globally, while maintaining a boutique investment vibe.

This role supports London-based trading desks across multiple asset classes including global cash equities, fixed income, and derivatives.

We believe this is a great company with a strong Head of Compliance and an exciting global trading environment.

The company offers a hybrid working model, combining remote and in-office work.

Key Responsibilities:

Regulatory Compliance:

• Monitor and support adherence to relevant regulations (e.g., FCA, DFSA, ESMA, ASIC).
• Assist in developing and updating compliance policies and procedures.
• Support regulatory filings and internal compliance reports.
• Conduct reviews and monitoring activities as per the compliance program.
• Assist with internal audits and regulatory inspections.
• Keep updated on regulatory changes and support their implementation.

Client Onboarding:

• Perform due diligence checks including KYC, AML, PEP, and sanctions screening.
• Review onboarding documentation for compliance.
• Coordinate with internal teams to resolve onboarding issues.
• Maintain organized records of onboarding activities.
• Assist with ongoing client reviews and remediation.

Requirements:

• 1–3 years’ experience in compliance, preferably in financial services or investment management.
• Experience with client onboarding and regulatory due diligence.
• Knowledge of AML, KYC, and sanctions screening processes.
• Familiarity with financial regulations (e.g., FCA, MiFID II, AMLD, FATF).
• Attention to detail, organization, and time management skills.
• Strong communication skills.
• Experience in multi-jurisdictional financial environments.
• Experience with compliance monitoring systems or onboarding platforms.
• Professional compliance qualification (e.g., ICA Certificate/Diploma) or working towards one.

Personal Attributes:

• Proactive, self-motivated, and committed to high standards.
• Integrity and discretion with confidential information.
• Ability to work independently and in a team.
• Solutions-oriented with practical compliance approach.

**Note: Our client will not sponsor visas. Applicants must have full UK Right to Work. No sponsorship for Youth Mobility, Tier 4, or Spouse Visas nearing expiration.**