Compliance Officer: Advisory

2 weeks ago

London, UK, United Kingdom Selby Jennings Full time

A leading global financial institution is seeking an experienced compliance professional to join its Compliance Service Unit and Senior Managers and Certification Regimes (SMC) advisory team. The ideal candidate will play a crucial role in defining, implementing, and overseeing compliance risk frameworks, as well as supporting the Senior Managers & Certification Regimes (SMCR) within the organisation.

Key responsibilities:

  • Regulatory compliance: Handle regulatory communications with relevant authorities (FCA). Manage regulatory approvals and certification requirements for staff performing regulated activities or significant harm functions.
  • Advisory & support: Raise awareness of compliance risks and strengthen the compliance culture across the organisation & analyse compliance risks to monitor any issues that may harm the organisation's reputation and activities. Raise awareness of compliance risks related to SMCR by designing and delivering relevant training programs.
  • Strong knowledge: Strong knowledge of Senior Managers & Certification Regimes related to legal & regulatory expectations.
  • Policy implementation: Define & implement the organisations framework to ensure consistent monitoring of its implementation & develop procedures to mitigate & manage compliance risks.
  • Compliance Oversight: Conduct second-level control and supervision of the compliance risk management framework, including assessing compliance within entities/activities that significantly impact the organisation's risk profile.
  • Training & support: Provide advice, training, and support on the implementation of the Senior Managers and Certification Regimes (SMCR) and its evolution in response to regulatory changes.
  • Relationship management: Manage relations with supervisory and regulatory authorities and represent the organisation to these authorities & advise internal stakeholders, including HR and Business Units, on SMCR-related matters and ensure compliance with the regime's requirements.

Profile requirements:

  • Strong Compliance Knowledge: Of UK Senior Managers & Certification Regimes (SMCR) and related legal, regulatory, and industry expectations.
  • Communication: Strong interpersonal & communication skills, as responsible for regulatory communications with the FCA.
  • Organisational skills: Strong organisational skills with the ability to manage multiple tasks and priorities effectively.
  • Efficient: High attention to detail, ability to handle confidential information with precision & work well under pressure against deadlines.
  • Experience: 5 years experience of regulatory & compliance with in banking institutions.

This role requires a deep understanding of regulatory frameworks, strong communication skills, and the ability to manage complex compliance processes.

If interested, or want to find out more, please send over your updated CV

  • Compliance Advisory

    4 weeks ago

    London,, UK, United Kingdom Jacobson Garner Full time

    Compliance Advisory VPA leading corporate brokerage and market-making firm based in London is seeking a Compliance Advisory VP to provide expert compliance guidance across diverse markets, including FX, Credit, Rates, Equities, and Commodities. This strategic role requires a highly experienced professional with a deep understanding of regulatory compliance...

  • Compliance Advisory Consultant

    1 month ago

    London,, UK, United Kingdom Barclay Simpson Full time

    Regulatory Compliance Advisory Consultant - £500 - £600 per day.Can you provide outstanding technical compliance guidance on Investment Management solutions?If so, please do apply.We're looking to hire a contractor for 6 months, to support a friendly, collaborative and professional Investment Manager, who are looking for a consultant in Compliance...

  • Compliance Advisory

    7 days ago

    London,, UK, United Kingdom Danos Group Full time

    Currently recruiting on behalf of a Global Trading firm, who are looking to recruit an experienced compliance advisory professional with experience in Global Markets to join their team. The business are ideally looking for a candidate with good knowledge of OTC Derivatives and Commodities to join the team. You will report directly into the head of compliance...

  • Markets Compliance Advisory

    2 months ago

    London,, UK, United Kingdom Danos Group Full time

    Currently recruiting on behalf of a Global Trading firm, who are looking to recruit and experienced compliance advisory professional with experience in Global Markets to join their team. The business are ideally looking for a candidate with good knowledge of OTC Derivatives and Commodities to join the team. You will report directly into the head of...

  • Compliance Officer

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.THE RESPONSIBILITIES:Experience in US Swap Dealer businessCFTC rules and US Swap Dealer requirements & monitoring Implement and conduct market surveillance and communications...

  • Financial Crime Compliance Advisory

    3 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful banking firm with a strong global presence across wholesale and capital markets. THE RESPONSIBILITIES:Responding to enquiries from the business in a timely manner.Providing advice and guidance to the business and further areas of the firm To review and assess the appropriateness of financial crime related documentation...

  • Global Head of Compliance

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.Oversight...

  • Compliance Officer

    1 month ago

    London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance?An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Compliance Officer

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international financial services company focusing on wholesale and corporate banking activities.THE RESPONSIBILITIES:To provide comprehensive advice on regulatory requirementsInterpret and communicate complex regulatory changeTo work closely with key stakeholders and ensure appropriate regulatory advice is providedWork closely...

  • Compliance Officer, Marketing

    3 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global asset management firm, with 30-40 offices worldwide. They are looking for an Compliance Officer with a focus on Marketing & Distribution. THE RESPONSIBILITIES: Review and approve financial promotions, marketing materials, client reports, RFPs and other client communicationsProvide advice and guidance to client coverage,...

  • Compliance Associate

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: An international market maker specialising in FX and commodities that provides liquidity across a variety of exchanges and trading platforms is currently looking to expand their London based compliance team with a new Compliance Manager.THE RESPONSIBILITIES:The Compliance Manager will play a crucial role in ensuring adherence to regulatory...

  • Compliance Advisory

    6 months ago

    London, UK, United Kingdom Eximius Finance Full time

    Required skills and knowledge: • A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses. • An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II. • Experience of portfolio...

  • Compliance Officer

    6 months ago

    London, UK, United Kingdom One Ten Associates Full time

    We are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. This role will be generalised, duties include: Provide regulatory advice to the trading teams across multiple asset classes (Equities,...

  • Compliance Advisor

    2 months ago

    London, UK, United Kingdom SOCIETE GENERALE Full time

    Responsibilities The Compliance Service Unit (CPLE) is responsible for the definition and consistency of the compliance risk prevention and control system, and for coordinating the framework aimed at preventing, identifying, assessing, and controlling reputational risk. In conjunction with the Business Units and other Service Units (BU/SUs), CPLE...

  • AVP/VP - Markets Advisory Compliance

    3 weeks ago

    London,, UK, United Kingdom Black Swan Group Full time

    Role OverviewOur client is seeking a skilled Compliance Advisor to join their growing compliance team. This position is ideal for a Vice President or a strong Assistant Vice President looking to step up into a dynamic and expanding governance function.The role involves providing hands-on, trading floor-based compliance advice to commodities business units,...

  • Head of Compliance

    1 month ago

    London,, UK, United Kingdom Coopman Search and Selection | B Corp™ Full time

    Coopman Search and Selection are currently partnered with a private funds advisory business who are HQ'd in the UK but have a global presence. The role will report in directly into the COO. In this role you will be responsible for the running of the compliance programme whilst holding the SMF16/17 functions for the business. The role will see you cover...

  • Compliance Officer

    1 month ago

    London, UK, UK, United Kingdom Simmons & Hanbury Full time

    Our client is a leading global hedge fund looking for a Compliance Associate/Officer to work in a generalist compliance role.Key Responsibilities:Develop, maintain and test compliance monitoring systems and controls (including policies and procedures)Assisting advising front office on local rule books New product / advisory approvalKeep up to date on...

  • Compliance Officer – Senior Managers and Certification Regimes Advisory and Compliance, VP

    2 weeks ago

    London, UK, United Kingdom SOCIETE GENERALE Full time

    Responsibilities Please apply with a cover letter The Compliance Service Unit (CPLE) is responsible for the definition and consistency of the compliance risk prevention and control system, and for coordinating the framework aimed at preventing, identifying, assessing and controlling reputational risk. In conjunction with the Business Units and other...

  • Ratings Advisory VP

    2 months ago

    London, UK, United Kingdom ING Full time

    Some companies see diversity as a box to be ticked. We see it as fundamental to our success and we encourage a proper work/life balance. At ING, you will be judged on your performance in line with the Orange Code.Job SpecificationTeam Overview: The London based Ratings Advisory team is focused on corporate ratings advisory on a pan-European basis. External...