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- Tasks: Lead compliance initiatives and enhance regulatory frameworks in a dynamic investment firm.
- Company: Growing international investment firm with a strong ethical culture.
- Benefits: Competitive salary, mentorship opportunities, and involvement in global compliance projects.
- Why this job: Make a real impact on financial crime compliance and shape the future of governance.
- Qualifications: 12+ years of compliance experience in investment management and knowledge of UK regulations.
- Other info: Opportunity to mentor juniors and engage in cross-border projects.
The predicted salary is between 72000 - 108000 £ per year.
It’s an outstanding opportunity for a seasoned compliance professional to lead and enhance the regulatory and financial crime framework of a growing international investment firm. The role acts as SM 16/17 and AMLO, which involves providing strategic compliance leadership and advisory across the London office and ensuring a strong culture of ethical conduct and governance.
Key responsibilities include:
- Managing regulatory engagements
- Interpreting and implementing new rules
- Maintaining effective oversight of risk and compliance controls across business lines
- Overseeing new product launches and cross-border projects
- Ongoing improvements to policies and monitoring programs
As the designated officer responsible for financial crime compliance in the UK, you will oversee the firm’s AML and counter-financial-crime framework, review high-risk relationships, and ensure appropriate due diligence and escalation processes are in place. This position also offers the opportunity to mentor junior colleagues and play a key role in global compliance initiatives across the organization.
The successful candidate would have not less than 12 years of compliance experience at investment managers with a strong understanding of UK regulatory frameworks. Exposure to the US supervisory framework would be an advantage.
Please send your CV to Vivian Chen at vchen@ashford-benjamin.com, or call +852 2315 9503 for a confidential discussion.
Compliance Officer (SMF 16/17, AMLO) employer: Ashford Benjamin
Contact Detail:
Ashford Benjamin Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (SMF 16/17, AMLO)
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for new opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulatory frameworks and financial crime compliance. We recommend practising common interview questions and scenarios related to compliance to show off your expertise.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each company’s culture and mission.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Plus, it shows your enthusiasm for the role and the firm’s commitment to compliance.
We think you need these skills to ace Compliance Officer (SMF 16/17, AMLO)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to highlight your compliance experience, especially in investment management. We want to see how your skills align with the key responsibilities mentioned in the job description.
Showcase Your Achievements: Don’t just list your duties; showcase your achievements in previous roles. We love to see quantifiable results that demonstrate your impact on compliance frameworks and risk management.
Be Clear and Concise: Keep your application clear and concise. We appreciate straightforward communication, so make sure your points are easy to read and get straight to the heart of your experience and qualifications.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications better and ensures you don’t miss out on any important updates!
How to prepare for a job interview at Ashford Benjamin
✨Know Your Regulations
Make sure you brush up on the UK regulatory frameworks and any relevant US supervisory guidelines. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Showcase Your Leadership Skills
Prepare examples of how you've provided strategic compliance leadership in previous roles. Highlight your experience in mentoring junior colleagues and leading compliance initiatives, as this is key for the position.
✨Demonstrate Problem-Solving Abilities
Think of specific instances where you've successfully managed regulatory engagements or implemented new rules. Be ready to discuss how you approached challenges and what the outcomes were.
✨Cultural Fit Matters
Research the company’s culture and values. Be prepared to discuss how you can contribute to a strong culture of ethical conduct and governance, as this is crucial for the role.
