# Compliance Officer (FTC) [Raymond James](https://www.jorb.ai/firms/raymond-james.md) · London · United Kingdom · [Risk & Compliance](https://www.jorb.ai/jobs/risk-compliance.md) Raymond James is hiring a Compliance Officer (FTC) in London. Posted 2026-09-16; applications close 2026-11-15. **Apply**: https://hdfg.fa.em3.oraclecloud.com/hcmUI/CandidateExperience/en/sites/CX/job/911 Posted 2d ago. ## Role details ## About the Role We are seeking a motivated and detail-oriented Compliance Officer for a 12-month fixed-term contract within our Compliance team. This is an excellent opportunity for an individual with experience in wealth management, investment management, private banking, or financial services who is looking to advance their career in a highly regulated environment. The successful candidate will be critical in supporting the firm's compliance and Anti-Money Laundering (AML) framework. This involves safeguarding the business and our clients through rigorous monitoring, oversight, and adherence to regulatory controls. You will collaborate closely with colleagues across the business, offering compliance advice and contributing to the continuous improvement of our risk management processes. ## Key Responsibilities - Conduct comprehensive compliance and risk monitoring activities, including reviewing system reports and alerts related to AML, trading activity, cash positions, and large stock holdings. - Review and investigate Data Loss Prevention (DLP) alerts, escalating concerns appropriately and ensuring adherence to firm policies. - Assess and scrutinize complex new account applications referred by the Client Onboarding team. - Review and approve static data amendments for complex client accounts. - Support colleagues with compliance and AML queries, escalating complex or higher-risk matters as necessary. - Provide administration and oversight of the firm's online compliance training system. - Assist with new SEDOL set-up requests. - Respond to Section 793 requests. - Support the firm's AML framework and broader compliance program. - Produce ad hoc reports and assist with departmental projects. - Provide general support across the Compliance team as required. ## Qualifications and Experience ### Required Background We are looking for an organized and detail-oriented individual eager to develop their expertise in compliance and financial services. ### Ideal Experience & Qualifications - Experience within Financial Services, ideally in Wealth Management, Investment Management, Private Banking, or a similar field. - Solid understanding of the UK regulatory landscape and the FCA Handbook. - Knowledge of investment products and wealth management services. - Exposure to anti-money laundering regulations and compliance practices. - Previous experience in complaints handling will be considered an advantage. - Possession of an investment, compliance, or financial planning qualification, or a demonstrable willingness to pursue relevant professional development. - Professional qualifications such as the CISI Diploma in Investment Compliance are highly desirable. We also actively encourage applications from candidates with relevant wealth management experience who are committed to building a career in compliance. ## Knowledge and Skills Successful candidates will demonstrate the following competencies: - Strong proficiency in Microsoft Office Suite. - Experience using compliance and monitoring systems such as LexisNexis Bridger, IDU AML, LiquidMetrix Surveillance, or comparable platforms. - Good knowledge of the Wealth Management industry. - Understanding of AML legislation, regulation, and best practices. - Knowledge of FCA rules and the wider UK regulatory environment. - Excellent written and verbal communication skills. - Strong attention to detail and analytical capabilities. - Effective organizational and time management skills. - Strong interpersonal skills and the ability to cultivate professional relationships across the business. - A proactive, problem-solving mindset coupled with a willingness to take ownership. - The ability to work effectively both independently and collaboratively within a team structure. ## Why Join Us? This role provides a valuable pathway to develop your career within a professional and collaborative setting, offering extensive exposure to compliance, AML, regulatory oversight, and wealth management operations. You will work alongside experienced professionals and play a vital part in ensuring the firm maintains the highest standards of client protection and regulatory compliance. If you are seeking a challenging and rewarding compliance role within a respected wealth management environment, we encourage you to apply. ## Applying to this role This Compliance Officer (FTC) role at Raymond James runs through the firm's own careers portal and expects a CV and cover letter written specifically for the posting, not a portable submission carried across firms. Jorb AI's application agent tailors a CV and cover letter from your background to this posting and tracks the role alongside the rest of your applications. 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