Compliance Officer jobs in London
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
London
London has been known as one of the world’s foremost financial hubs. London’s largest industry is finance, and the city contributes to about a quarter of the UK’s GDP.
People come from all over the world to do business in London. But London isn’t all business. It has a vibrant music scene, art scene and nightlife. It’s also a global centre for tertiary education. If you are a food lover, you’ll be pleased to know that London has a diverse and exciting food scene, from street markets to Michelin-starred restaurants.
If you prefer to see the sights, go and see Buckingham Palace, St Paul’s Cathedral, the British Museum, the West End, Tower Bridge, the Tate Modern, Big Ben, the London Eye or The National History Museum.
Getting around
The city of London is known for its extensive public transport system, which includes buses, trains, the famous tube, the overground, DLR, and so on. Getting around the city is incredibly easy, especially when equipped with the right Transport apps, such as Google Maps or Citymapper. Financial services firms are typically located in the heart of London, mostly in two neighbourhoods: Canary Wharf and “The City”, at Bank Station. No matter where you are based in the city or in its outskirts, getting to work
Latest jobs in Compliance
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2 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 ...
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3 days ago
Senior Compliance Officer
Hong Kong S.A.R
Our ClientA global fund focusing on global macro strategies ($12bn+ AuM)is looking to introduce a Senior Compliance Officer into their H...
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9 days ago
Compliance Analyst
New York
$100,000 - $140,000
Our ClientRutherford are partnered with a rapidly expanding global multi-strategy hedge fund ($55bn+ AuM) that are looking to hire into t...
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9 days ago
Compliance Officer
Luxembourg
Our ClientRutherford Search have been mandated on an exciting opportunity for a Compliance Officer to join an alternative investment fir...
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10 days ago
Compliance Officer
London
Our ClientRutherford have been mandated on an excellent opportunity for a Compliance Officer to join our Private Equity client's London ...
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11 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 respo...
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14 days ago
Head of Compliance
New York
$150,000 - $200,000
Our ClientOur client, a global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their ...
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16 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 acros...
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22 days ago
Compliance Associate
New York
$100,000 - $160,000
Our ClientRutherford is partnered with one of the world's fastest growing multi-strategy funds ($12bn+ AuM) currently looking to grow th...
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about 1 month 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...