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
-
10 days ago
Compliance Associate
London
Our ClientOur client, a boutique financial services regulatory consultancy, is looking for a motivated regulatory associate with stron...
-
10 days ago
Regulatory Reporting Officer (Contract)
London
Our ClientOur client, one of the world's leading buy-side firms, is currently looking for a Regulatory Reporting Officer on an interim ...
-
10 days ago
Head of Compliance
Brussels
£125,000
Our ClientOur client, a leading insurtech firm, is expanding its presence out into Brussels (Belgium) and is now looking for a Head of...
-
10 days ago
Compliance Director
City of London
£120,000
Our ClientOur client, a leading law firm, is growing its new regulatory consulting arm and has a key vacancy for a dynamic Compliance ...
-
10 days ago
Compliance Manager
London
£65,000
Our ClientOur client, a fast-growing insurtech, is currently looking for a Compliance Manager for their London office. This role report...
-
10 days ago
Compliance Analyst
London
Our ClientOur client, a macro hedge fund, is seeking a Compliance Analyst to join their Compliance department in London on a permanent ...
-
10 days ago
Senior Distribution Compliance Manager
London
Our ClientOur client, an investment management group, is seeking a Senior Distribution Compliance Manager, to join their London team.Thi...
-
10 days ago
Compliance Officer
London
Our ClientA leading alternative investment manager is looking to hire a Compliance Officer into their advisory compliance team. The C...
-
10 days ago
Compliance Associate
London
£40,000
Our Client Our client is a leading specialist consulting firm that provides governance, risk, and compliance solutions. This role will...
-
18 days ago
Assistant Manager
London
Our ClientOur client, a new and exciting consultancy advising across the full financial service suite is looking for an Assistant Man...