Broadgate is partnered with an international trading company looking for a Compliance Officer to join their team. The position is heavily monitoring-led, with the majority of time dedicated to testing, review activity, and regulatory assurance in line with MiFID obligations and wider regulatory standards.
 
Responsibilities include:
  • Own and deliver the annual compliance monitoring programme, ensuring effective coverage throughout the year
  • Perform ongoing compliance testing and monitoring activities across the business
  • Assess adherence to MiFID and other applicable regulatory requirements
  • Identify, evaluate, and escalate compliance risks, breaches, or control weaknesses
  • Produce clear and timely compliance reports for senior management
  • Track regulatory developments and communicate relevant changes internally
  • Support internal audits, reviews, and regulatory interactions as required
  • Provide practical compliance guidance and training to business stakeholders
  • Work collaboratively with internal teams to resolve compliance findings and enhance controls 
Requirements:
  • Professional Qualification (PQ) approval by the MFSA
  • Degree qualified in Law, Finance, Business, or a related discipline
  • Proven experience in a compliance, risk, or regulatory role within financial services
  • Solid working knowledge of MiFID regulations
  • Strong analytical skills with the ability to interpret regulatory requirements pragmatically
  • Highly organised, with the ability to manage priorities independently
  • Clear and confident communicator, both written and verbal
  • Strong attention to detail and a structured approach to work
  • Professional compliance qualifications are advantageous but not essential 
Apply with us today!