Job Title: Compliance Officer – Investment Banking (6-month contract)
Location: Hybrid
Salary: £400 per day (outside IR35)
Our client We are working exclusively with a boutique investment advisory firm to recruit an experienced Compliance Officer for a 6-month contract. This is an excellent opportunity to step into a key role within a small, FCA-regulated business advising on cross-border M&A and capital raising in the technology sector.
The successful candidate will provide day-to-day compliance support, ensure ongoing regulatory adherence, and support senior leadership with policy, monitoring, and governance matters.
Position Overview: The successful candidate will work closely alongside the firm’s Compliance Manager, supporting the day-to-day compliance framework and contributing to ongoing regulatory initiatives.
This role offers the opportunity to step into a collaborative and high-trust environment, where you’ll be involved in a broad range of compliance matters – from monitoring and policy updates to AML reviews and regulatory filings.
Key Responsibilities:
- Oversee compliance with applicable FCA rules and guidance, including SYSC, COBS, SM&CR, and MAR
- Maintain and update internal compliance policies and procedures
- Conduct compliance monitoring and risk assessments
- Lead or support regulatory reporting and filings (e.g., RegData returns)
- Oversee KYC/onboarding and ensure AML/CTF processes align with UK regulatory standards
- Advise senior stakeholders on regulatory matters and emerging compliance risks
- Coordinate with external compliance consultants or a principal firm, if operating under an Appointed Representative model
- Support training and awareness across the firm
How to Apply:
Interested candidates are invited to submit their CV and a cover letter detailing their relevant experience and why they are the ideal fit for this role to
Equal Opportunity Employer: Our client is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.
Chervia Group thanks all applicants for their interest; however, only those selected for an interview will be contacted.