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
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4 days ago
Compliance Manager
London
Our ClientOur client, a highly regarded sovereign wealth fund, are currently seeking a Compliance Manager to join their London Complianc...
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4 days ago
Compliance Associate
London
£65,000
Our ClientOur client, a top international private equity firm, is currently seeking a Compliance Associate to join their team in London.T...
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4 days ago
Senior Commpliance Officer
New York
Our ClientRutherford has been mandated on a search for a leading tech-focused private equity firm with c.$50bn AuM that are looking to h...
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4 days ago
Head of Compliance
London
Our ClientOur client, a leading global investment management firm, is currently seeking a Head of Compliance for its London office.The s...
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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
Regulatory Insurance SME
London
£65,000
Our ClientOur client is a fintech based in the City of London. They advise a variety of financial institutions across global insurers, b...
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4 days ago
Advanced Associate - Seed Stage Accel...
London
Our ClientOur client is a VC backed Accelerator who has a strong track record of taking Web 3.0 start-ups through their Pre-Seed and See...
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4 days ago
Compliance Business Partner
City of London
£75,000
Our ClientOur client is a renowned global insurance broker who is seeking a Compliance Business Partner. This role reports into the Seni...
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4 days ago
Recruitment Consultant (to relocate t...
London
Are you a London-based sales professional or recruitment specialist who is ready to take on a new challenge? Would you be keen to move t...
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6 days ago
Investment Operations Analyst
London
Our ClientOn the behalf of a leading buy-side multi-strategy client, we are seeking a Junior Analyst, Investment Operations based in Lon...