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Compliance Analyst

1 month ago

London Area, United Kingdom Barclay Simpson Full time

Compliance Analyst – Financial Services - 4/6 Month Contract


📍 Location: London

💰 Salary: £40,000 - £60,000 (Or equivalent day rate)


Are you looking to grow your career in compliance within a fast-paced financial services environment? An investment platform is seeking a Compliance Analyst on a contract basis to play a key role in ensuring regulatory compliance, executing monitoring programmes, and supporting key compliance functions.


About the Role

Reporting to the Senior Operational Compliance Manager, you will be responsible for assessing the effectiveness of compliance measures, ensuring adherence to FCA regulations (particularly Conduct of Business rules), and fostering a strong compliance culture across the organisation.


Key Responsibilities


📊 Compliance Monitoring & Regulatory Oversight

  • Execute a risk-based compliance monitoring programme in line with regulatory requirements.
  • Ensure compliance with FCA regulations, particularly Conduct of Business (COBS) rules.
  • Assist in the administration of the Senior Managers & Certification Regime (SMCR).
  • Respond to Financial Ombudsman Service (FOS) cases and regulatory enquiries.
  • Ensure accurate and up-to-date record-keeping across all compliance areas.


🔎 Market Surveillance & Risk Management

  • Investigate suspicious transactions and orders as part of market surveillance activities.
  • Monitor complaints handling and vulnerability processes, reviewing root cause analysis.
  • Work closely with operational teams to promote compliance by design across business functions.


🤝 Stakeholder Collaboration

  • Liaise with business teams to ensure regulatory requirements are understood and implemented.
  • Support ad-hoc regulatory requests and thematic reviews when required.


What We’re Looking For


✅ 2+ years’ experience in a compliance role within a retail investment or financial services environment.

✅ Strong knowledge of retail investment products, crypto assets, and multi-asset trading environments.

✅ A solid understanding of regulatory compliance monitoring and FCA requirements.

✅ Highly organised and articulate, with the ability to manage multiple priorities in a fast-paced setting.

✅ Strong analytical skills – Excel proficiency is highly desirable.

✅ Excellent communication and presentation skills, with confidence engaging stakeholders at all levels.

✅ Educated to degree level in a relevant field.


Perks & Benefits

  • Competitive salary & performance-based incentives.
  • Pension scheme & other financial benefits.
  • Private medical insurance & wellness programmes.
  • Learning & development support, including professional qualifications.
  • Hybrid working & a dynamic, fast-paced work environment.


🚀 Join a leading financial services firm and take the next step in your compliance career. Apply now


Please note - this is a contract role for 4/6 months requiring someone to attend a London office twice a week.