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
Latest jobs in Compliance
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1 day ago
Compliance Officer (SMF16/17)
City of London
Our ClientOur client is a global hedge fund looking to hire a Compliance Officer (SMF16/17) for its London office. This role is a standa...
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1 day ago
Financial Accountant
City of London
Our ClientOur Client, a leading British Hedge Fund with c. $8bn in AuM, is currently looking for a Financial Accountant. The successful ...
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3 days ago
Compliance Manager - Venture Capital
City of London
Our ClientOur client, a global investment firm with offices in Europe and Asia, is currently looking for a Compliance Manager to join th...
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4 days ago
Compliance Officer
City of London
Our ClientOur client, a venture capital firm with c. $4bn in AuM is looking for a Compliance Officer to help manage the function. This r...
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4 days ago
Compliance Analyst
City of London
Our ClientOur client is a leading British Hedge Fund with c. $15bn in AuM. Based in the heart of London, the firm is now looking for an ...
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4 days ago
Operations and Compliance Officer
City of London
Our ClientOur client, a leading hedge fund based in Mayfair, is looking for an Operations & Compliance Officer to join their team in...
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4 days ago
Compliance Manager (FTC)
City of London
Our ClientOur client, a leading hedge fund based in Mayfair, is looking for a Compliance Manager to join its team in London. This is a F...
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5 days ago
Compliance Associate
City of London
Our ClientOur client, a leading global Private Equity firm with offices in London, Hong Kong and the United States, is currently looking...
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5 days ago
Compliance Analyst
London
Our ClientOur client, a leading real estate/investment management firm based in London, is currently looking for a part-time Compliance ...
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6 days ago
Head of Compliance
City of London
Our ClientOur client, a leading Private Equity firm with c. $25bn of AuM, is currently looking for a Head of Compliance. The successful c...