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
Attention to detail
Niche candidates and subject matter experts
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.
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
2 days ago
Our Client Our client, a leading private equity firm, is seeking a Compliance Associate to join their London offices. Main DutiesKey res...
4 days ago
Our Client Our client is a multinational leading HFT firm with a primary focus in the crypto markets, are seeking a Compliance Associat...
10 days ago
Our Client Our client, a leading Private Equity firm, are seeking a Marketing and Distribution Compliance AVP to join their London offic...
10 days ago
Compliance Business Partner
Our ClientOur client, a leading global insurance broker, are looking for a Compliance Business Partner to join their investments team.Hyb...
11 days ago
Senior Compliance Officer
United States of America
Our ClientOur client, a leading global insurer, is currently looking for a Senior Compliance Officer to provide insurance expertise in i...
11 days ago
Head of Compliance
Our ClientOur client, a leading insurtech firm, is expanding its presence out into Brussels (Belgium) and is now looking for a Head of C...
11 days ago
Our ClientOur client, a fast-growing insurtech, is currently looking for a Compliance Manager for their London office. This role reports...
11 days ago
Our ClientOur client, a global investment and advisory firm with c.$5bn AUM, are seeking an experienced Compliance Officer to join the...
12 days ago
Our Client Our client, a global investment and advisory firm with c.$5bn AUM, are seeking an experienced Compliance Officer to join their...
16 days ago
Our ClientOur client, a boutique hedge fund with circa $5bn in AuM, is currently looking for a Compliance Analyst to join their Connecti...