The Role

Junior Compliance Officer (1-3-years’ experience) – Boutique City of London based Investment House

Martis Search are representing a boutique City of London based Investment company to hire a junior Compliance Officer with 1-3-years’ Compliance.

This exciting role is a mix of AML/ KYC Client Onboarding, KYC Remediation, Regulatory Compliance, Financial Crime and “Generalist Compliance” responsibilities – so is an excellent opportunity for someone to learn so much in a small Compliance department.

The successful candidate will support the implementation and maintenance of effective compliance frameworks and assist with the onboarding of new clients in accordance with applicable regulations and internal policies.

The company boasts a truly entrepreneurial spirit. It is dynamic and forward-thinking, constantly launching new businesses, new funds, new global geographical locations; but still maintains the vibe of an “investment boutique.”

The role supports existing London based Trading desks (multi asset-classes i.e. global Cash Equities, Fixed Income and Derivatives).

In-our-opinion, this is a really good and interesting company, with a great Head of Compliance and supporting an exciting global “Trading organisation.”

The company offer a hybrid mix of “working-from-home” and also in-the-office, so you get the best of both worlds.

Key Responsibilities:

Regulatory Compliance:

• Monitor and support adherence to relevant regulatory obligations (e.g., FCA, DFSA, ESMA, ASIC depending on jurisdiction).
• Assist in the development and maintenance of compliance policies and procedures.
• Support the preparation of regulatory filings and internal compliance reports.
• Conduct reviews and monitoring in line with the firm’s compliance monitoring program.
• Assist with internal audits and regulatory inspections as needed.
• Maintain an up-to-date knowledge of relevant regulatory changes and support their implementation across the business.

Client Onboarding:

• Perform due diligence checks including KYC, AML, PEP, and sanctions screening for new clients.
• Review onboarding documentation to ensure compliance with regulatory and internal requirements.
• Liaise with internal stakeholders (Sales, Operations, Legal) to resolve any onboarding issues or information gaps.
• Maintain accurate and organized records of onboarding activity and client documentation.
• Assist in ongoing client reviews and remediation efforts.

Requirements:

Essential:

• 1–3 years of experience in a compliance function, preferably within financial services or investment management.
• Hands-on experience with client onboarding and regulatory due diligence.
• Familiarity with AML, KYC, and sanctions screening processes.
• Working knowledge of key financial regulations (e.g., FCA Handbook, MiFID II, AMLD, FATF guidelines).
• Excellent attention to detail, organizational and time management skills.
• Strong written and verbal communication skills.

Desirable:

• Experience working in a multi-jurisdictional financial services environment.
• Previous exposure to compliance monitoring systems or onboarding platforms.
• Professional compliance qualification (e.g., ICA Certificate/Diploma or equivalent) or working towards one.

Personal Attributes:

• Proactive and self-motivated with a commitment to high standards.
• Strong integrity and ability to handle confidential information with discretion.
• Able to work both independently and collaboratively in a fast-paced environment.
• Solutions-focused with a practical approach to compliance challenges.

**Please note our client will not sponsor, and we ask all applicants to have full UK Right to Work and no time limited visas – Youth Mobility, Tier 4, Spouse Visas (all that are soon to expire and require company sponsorship to work in the UK).

We ask all applicants to respect this requirement given our client’s request and inability to sponsor.**