Compliance Officer

Description:

Compliance Officer – Financial Promotions (UK & Europe)

Type: Full-time, permanent

Reporting to: GC & Head of Compliance (Europe)

About the Business

You will be joining a high-growth global digital asset investment firm operating at the intersection of traditional financial markets and emerging technologies. The business is rapidly expanding across Europe, particularly the DACH region, and is focused on building strong compliance and governance frameworks to support responsible growth, product distribution, and market engagement.

This is an exciting opportunity to join a dynamic business at a pivotal stage, where your work will have real ownership and impact.

Role Overview

The successful candidate will join as a Compliance Officer with a clear pathway to progress into Senior Legal & Compliance Officer and ultimately Head of Compliance as the business scales. This role suits someone with strong regulatory judgement who is motivated to build and grow a compliance function in a rapidly evolving environment.

You will focus on financial promotions compliance across the UK and Europe, helping to shape and implement the European compliance function from the ground up.

Key Responsibilities

• Review and assess financial promotions for UK and European markets, with a focus on retail-facing materials.
• Approve marketing, sales, distribution, and research content prior to release; maintain audit trails using compliance platforms (e.g., RedOak, Gateway21).
• Own and maintain compliance risk registers, policies, and procedures.
• Deliver compliance training across Europe using Skillcast.
• Lead and support responses to due diligence questionnaires (DDQs).
• Provide pragmatic guidance and regulatory judgement to support European market activities.

Experience & Knowledge

• 5–7 years’ experience in compliance or regulatory advisory roles within financial services.
• Essential: hands-on experience with UK and European financial promotions.
• Strong understanding of retail financial promotion rules, including Section 21 and approval frameworks.
• European experience essential; Germany/DACH highly desirable.
• Exposure to digital assets / crypto is a plus but not required.