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Compliance monitoring officer
London, UK

Purpose of job

Dolfin is currently looking to recruit within its Compliance team. The role will be based out of our luxurious West End Office, and will be for a permanent full time role. This is a fantastic opportunity for a dynamic and talented Compliance professional to come on board and hit the ground running.

Reporting to the Head of Compliance, the successful Compliance Monitoring Officer will work within the Compliance team with a primary focus on maintaining and driving the completion of the Compliance Monitoring Programme and managing various day to day business queries and tasks.

Key responsibilities


  • Conducting risk based monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;
  • Maintain, develop and drive the completion of the Compliance Monitoring Programme;
  • Review and approval of financial promotions;
  • On-boarding of new client and counterparty relationships;
  • Assisting with GABRIEL returns;
  • Other adhoc tasks as and when may be required within the Compliance department;
  • To assist in developing and implementing an effective compliance culture throughout the Company;
  • Contributing to the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement;
  • Assisting with the production of management information on compliance issues;
  • Keep up to date with industry knowledge and to ensure the appropriate competency levels are maintained

Skills and experience

  • 5 years+ experience working with compliance team within financial services
  • Educated to degree level
  • Strong technical knowledge of the FCA Handbook and relevant regulations
  • Strong organisational skills and ability to successfully manage multiple tasks proactively within a team environment
  • Excellent written and verbal communication skills
  • Ability to prioritise and meet deadlines
  • Good interpersonal skills and ability to work independently
  • Strong IT skills and proficiency in Excel.


Our clients deserve the best and the same goes for our people. That’s why at Dolfin you’ll receive a range of benefits including a competitive salary, flexible operating framework and all the tools, technology and support to help you become the very best you can be.

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