Compliance Specialist

2 weeks ago

City Of London England, United Kingdom Screen International Group ltd Full time £60,000 - £80,000 per year

Compliance Specialist

Location: City of London

Term – months

Contract – Outside of IR35

Start: ASAP

Rate : £ Daily

Role Overview

The FX Compliance Specialist will ensure that the brokerage's FX trading and client-related activities comply with all applicable laws, regulations, and internal policies. The role will focus on anti-money laundering (AML) and counter-terrorist financing (CTF) requirements, client onboarding and due diligence, regulatory reporting, and conduct oversight, with particular emphasis on retail and institutional FX brokerage services.

Specialist Areas with Compliance Required

  • Transactional Monitoring
  • Onboarding

Key Responsibilities

  • Oversee client onboarding, conducting robust KYC/AML checks, sanctions screening, and enhanced due diligence where required.
  • Monitor FX transactions and client activity to detect and escalate suspicious behaviour in line with AML/CTF regulations.
  • Ensure compliance with global and local regulatory frameworks relevant to FX brokerage (e.g., FCA, CySEC, ASIC, NFA, ESMA, MiFID II).
  • Maintain and enhance policies, procedures, and controls to mitigate compliance and conduct risks across the brokerage.
  • Conduct trade surveillance to detect potential market abuse, unfair pricing practices, or client detriment.
  • Prepare and submit regulatory reports (e.g., Suspicious Activity Reports, transaction reporting, best execution reports).
  • Liaise with regulators, auditors, and external advisors during inspections, audits, and reviews.
  • Provide training to front office, client support, and operations teams on AML, market conduct, and regulatory requirements.
  • Assist the MLRO in investigating and filing suspicious activity reports (SAR/STRs).
  • Track and interpret regulatory developments affecting the FX brokerage industry and communicate implications to stakeholders.

Key Skills & Competencies

  • Strong understanding of retail and institutional FX brokerage models, including CFDs, margin trading, and online platforms.
  • In-depth knowledge of AML/CTF frameworks, sanctions regulations, and client due diligence processes.
  • Familiarity with transaction monitoring, surveillance, and regulatory reporting tools.
  • Strong analytical and investigative mindset with attention to detail.
  • Excellent communication skills with ability to explain regulatory requirements to non-compliance staff.
  • Ability to balance commercial awareness with regulatory obligations.
  • Highly organized and able to manage multiple compliance priorities.

Qualifications & Experience

  • Bachelor's degree in Finance, Business, Law, or related field.
  • 1–3+ years of compliance/AML experience within an FX brokerage, financial services firm, or regulator.
  • Previous exposure to retail FX/CFD products and brokerage operations preferred.
  • Professional certifications such as ICA, ACAMS, or equivalent highly desirable.
  • Strong knowledge of relevant regulatory environments (e.g., FCA, CySEC, ASIC, ESMA, NFA).

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