Compliance Assistant

Multi-national Financial Services (Brokerage focused) has created a Junior Compliance Analyst to join a small, hands-on compliance function. This is a generalist role suited to someone early in their compliance career who wants to broaden their exposure across regulatory compliance, AML/financial crime, and ad hoc project work.You'll work closely with the Compliance Manager and gain direct exposure to FCA-regulated FS/brokerage operations.Location: London, City,Full time- (5 days in office)ComplianceSupport day-to-day compliance monitoring, including trade surveillance checks, personal account dealing reviews, and gifts & hospitality register maintenanceAssist with regulatory reporting (e.g. FCA returns) and maintenance of the compliance monitoring programmeHelp maintain and update compliance policies and procedures in line with FCA rules (COBS, SYSC, MAR)Support onboarding and periodic review of client due diligence filesAML / Financial CrimeAssist with client CDD/EDD checks, including PEP and sanctions screeningSupport transaction monitoring alert review and escalation under the direction of the MLROHelp maintain the firm's AML risk assessment and SAR logContribute to AML training rollout and record-keepingAd HocAssist with internal audits, regulatory horizon scanning, and implementation of new rule changesSupport compliance input into new product/business initiativesPrepare MI and reporting packs for Compliance Committee and BoardGeneral support across the compliance function as priorities arise — this is a hands-on, varied role in a small teamWhat We're Looking For6 to 18 months experience in a compliance, AML, or financial crime role (in-house or advisory), ideally within brokerage, wealth management, or wider financial servicesWorking knowledge of FCA regulatory framework and UK AML regulations (MLRs, JMLSG guidance)Strong attention to detail and comfortable managing multiple priorities in a small teamGood written and verbal communication skills