Compliance jobs in London
The financial services industry has seen many changes over the years with traditional firms being constantly challenged by the evolution of new trends and technologies.
The emergence of digital assets, fintechs and start ups has varied the scope of the once traditional compliance role, making it an increasingly interesting and competitive space to work in.
Every year, new regulations and rules are introduced, meaning compliance professionals must always be on top of the ever-changing sector to properly assess how any regulatory update can affect a business and its activities.
The person leading a compliance regulatory function will have to manage and support c-suite staff, internalise conflicts and exercise supreme judgement in balancing the need to allow its business to flourish in an increasingly complex regulatory environment, whilst avoiding the potentially devastating consequences of non-compliance.
Comliance Teams
Compliance teams can vary depending on the firm, and level of experience needed but can be comprised with the following:
Chief Operating Officer
Head of Legal and Compliance
General Counsel
Head of Compliance
Chief Compliance Officer
Legal Counsel
Compliance Manager
Compliance Officer
Compliance Analyst
Advisory Compliance
Compliance Policy
Monitoring, Testing & Surveillance
Policy/Regulatory Affairs
Main Key Duties
The key duties within a compliance role might change from one type of firm to another, however 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 Skills
As the regulatory function continues to grow the compliance needs in firms have become more robust, meaning compliance professionals may require a niche set of skills.
To flourish within a compliance role these skills are required:
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Problem solving
Attention to detail
Niche candidates and subject matter experts
Need Help Finding a Compliance Role?
Contact our specialists regulatory compliance recruitersor see Rutherford's regulatorycompliance jobs.
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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10 minutes ago
Compliance Officer
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Our ClientOur client, a UK-based exchange, is currently seeking a Compliance Officer to join its Amsterdam office. Reporting into the Hea...
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2 days ago
Legal and Compliance Vice-President
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Our ClientOur client, a prominent global private equity firm, is actively seeking an accomplished professional to join their Legal &...
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Our ClientOur client, a leading global hedge fund, is currently seeking a Compliance Officer for its London offices. The business focuse...
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Our ClientWe are partnered with a leading asset manager that are looking for a Legal & Compliance Officer in their Copenhagen office...
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$90,000 - $120,000
Our ClientRutherford are partnered with a global Private Equity firm headquartered in Greenwich with offices also in London. Founded al...
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Our ClientOur client, a global multi-strategy hedge fund with c. $25bn AuM, is looking for a Compliance Officer to join its London-base...
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Our ClientRutherford have been mandated on a fantastic opportunity for a Compliance Analyst to join our UK asset manager client's London...
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Compliance Associate
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$100,000 - $160,000
Our ClientOur client, a global leader in alternative Investment Management are in the market for a Compliance Associate in New York. The...
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3 days ago
Chief Compliance Officer
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Our ClientOur client, a leading regulatory platform based in the UK and in Europe which manages 20bn+ in assets, is currently seeking a ...
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21 days ago
Compliance Associate
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$95,000 - $115,000
Our ClientRutherford is currently partnered with a full-service broker-dealer and investment banking company. As dependable Financial Ad...