Compliance Officer jobs
Because of the nature of the work, compliance officers traditionally come from a legal or finance background, with associated degrees. The sector is getting increasingly competitive, as being a compliance officer is seen as an attractive career, but individuals in compliance can still hail from diverse backgrounds as regulatory departments are more and more seeking complimentary technology and data skills.
Being a compliance officer can be a demanding job and it can be tough to keep on top of regulatory or legal changes in the financial services sector. The ability to stay on top of things and to manage people well are hallmarks of a good compliance officer. They need to be there for the front office staff, but also for the C-Suite, especially when operating as a Chief Compliance Officer, General Counsel or Chief Operating Officer.
Main Key Duties
While a Compliance Officer’s key duties might change from one type of firm to another, its core responsibilities will usually include, but not be limited to, the following:
Fostering an ethical culture at the firm
Avoiding fines and other penalties from the regulating body (FCA in the UK, SEC in the US)
Creating, monitoring and reporting on internal policies and processes: IT, Strategy, OH&S (Occupational, Health & Safety), KYC (Know Your Customer), PEP (Politically Exposed Person) and Sanctions
Legal research and anticipating future changes
Leveraging future changes in regulation
Reviewing marketing material and disclaimers
Training sessions to staff
Answering “can we do X?” questions from the C-Suite and front office
Conducting internal audits
Assisting with disciplinary proceedings
Reporting to the regulator
Making sure that advice considers business objectives
Prepare and file regulatory reports with the FCA
Main Required Skills
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Problem solving
Attention to detail
Niche candidates and subject matter experts
Latest jobs in Compliance
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about 22 hours ago
Head of Advisory
City of London
£110,000
Our ClientOur client is a leading financial services group with a specialism in wealth management. They are now looking for a Head of Ad...
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1 day ago
Compliance Officer
New York
Our ClientAn exciting multi-strategy investment firm - with a focus on digital assets - is currently looking for a Compliance Officer in...
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4 days ago
Compliance Analyst
London
Our ClientOur client, a global Investment Management firm is currently seeking a Compliance Analyst to join their team in London.Main D...
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4 days ago
International Compliance Associate
New York
Our ClientOur client, a rapidly-growing New York based private equity fund, is currently seeking an International Marketing Compliance As...
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4 days ago
FX OTC Operations Analyst
London
Our ClientOur client, a leading buy-side multi-strategy hedge fund, is currently looking to hire a FX OTC Operations Analyst for its Lon...
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4 days ago
Senior Compliance Advisor
London
Our ClientOur client, the global investment arm of a US-based financial services organisation, is currently seeking a Senior Compliance ...
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4 days ago
Compliance Associate
New York
Our ClientOur client, a rapidly-growing New York based private equity fund, is currently seeking a Governance and Marketing Associate fo...
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4 days ago
Conduct Risk Manager
London
£375/day
Our ClientOur client, a general insurance firm, is urgently looking for a Conduct Risk Manager to join its growing, dynamic team of 3 in...
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4 days ago
Compliance Analyst
London
Our ClientOur client, a US hedge fund circa $40bn AuM, is currently seeking a Compliance Analyst to join its London office. The successf...
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4 days ago
Chief Compliance Officer - Crypto (Re...
United States of America
Our ClientOur client, a leading crypto currency group, is looking to hire an experienced compliance professional to build out and lead t...