Senior Compliance Officer - Part-time

Senior Compliance Officer - Part-time

Location: London (Fully Remote Considered)

Sector: Financial Services - European Securities Brokerage

Employment Type: Part-Time (1-2 days per week; approx. 5-10 days per month)

Salary: Pro rata £70,000 - £90,000 per annum (depending on experience)

Working for a leading London-based European securities brokerage providing execution and related services to institutional and professional clients across the UK and Europe. Operating within a highly regulated environment. They are committed to maintaining the highest standards of compliance, governance and regulatory integrity.

They are seeking an experienced and pragmatic Senior Compliance Officer to support their regulatory and compliance framework on a part-time basis. This is a senior-level appointment suited to a compliance professional with substantial financial services experience, potentially from a legal practice, regulatory consultancy, or in-house compliance background.

The successful candidate will work closely with senior management and key stakeholders to ensure ongoing adherence to UK and European regulatory requirements.

This is a flexible, fully remote role requiring approximately 1-2 days per week (5-10 days per month).

Key Responsibilities

• Oversee and maintain the firm's compliance framework in line with FCA and relevant EU regulatory requirements
• Provide senior-level advice to the Board and management on regulatory obligations and risk exposure
• Monitor regulatory developments and assess their impact on the business
• Review and update compliance policies and procedures
• Support regulatory reporting and ensure timely and accurate submissions
• Lead or support regulatory audits, reviews, and supervisory interactions
• Oversee financial promotions and marketing compliance where applicable
• Conduct periodic compliance monitoring and risk assessments

Essential Experience:

• Significant experience in financial services compliance, ideally within a securities brokerage, investment firm, or trading environment
• Strong working knowledge of FCA regulation
• Experience advising senior management and Boards
• Background in legal practice (financial regulation), regulatory consultancy, or senior in-house compliance role