Compliance Officer jobs in Europe
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
Europe
Mainland Europe is a large peninsula comprised of 44 sovereign states, such as Denmark, Switzerland, Poland and Greece to name a few. For centuries, Europe has had a rich agricultural and industrial diversity, resulting in the continent becoming the centre of trade and commerce.
Europe is home to some of the most famous cities in the world: London, Madrid, Rome, Vienna, Stockholm. Each city projects its own culture and vibrancy – offering tons in tourist activities and travel opportunities.
Getting around
Traveling and getting around Europe is easy for anyone, thanks to its extensive and efficient public transport system, which allows you to go anywhere within the continent. Europe is the second smallest continent on the globe, making journey times between countries, cities, and towns reasonable: for example, getting from Milan to Berlin is a 1hr 15min journey if you decide to take a flight.
In major cities like Paris or Amsterdam, you will also find an extensive public transport system, which includes the bus, tube, train, boats, and other alternatives. Getting from one point to another is extremely easy, especially if you have a traveling application like Citymapper or Google Maps on your phone to help you find the fastest - or cheapest! - journey.
Latest jobs in Compliance
-
1 day ago
Compliance Associate
New York
$90,000 - $140,000
Our ClientRutherford are partnered with a boutique multi-strategy hedge fund looking to grow their compliance team following the success...
-
8 days ago
Compliance Officer
London
Our ClientOur client, a UK-based exchange, is currently seeking a Compliance Officer to join its London office. Reporting into the Head ...
-
8 days ago
Chief Compliance Officer
Chicago
$175,000 - $225,000
Our ClientA global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their Private Inves...
-
8 days ago
Chief Compliance Officer
Boston
$175,000 - $225,000
Our ClientA global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their Private Inve...
-
10 days ago
Compliance Officer
New York
$160,000 - $220,000
Our ClientA newly established and growing fund focusing on global macro strategies ($5bn+ AuM) is looking to introduce a Compliance Offic...
-
10 days ago
Compliance Officer
Luxembourg
Our ClientRutherford Search have been mandated on an exciting opportunity for a Compliance Officer to join an alternative investment firm...
-
22 days ago
Senior Compliance Officer
London
Our clientRutherford have been mandated on a fantastic opportunity to join our global hedge fund client’s Compliance team, who are respon...
-
23 days ago
Head of Compliance
New York
$150,000 - $250,000
Our ClientOur client, a global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their P...
-
23 days ago
Vice President, Compliance
New York
$200,000 - $220,000
Our ClientRutherford has been exclusively mandated on a compliance search for a multi-strategy hedge fund ($10bn AUM). They invest across...