At a Glance
- Tasks: Support compliance and anti-money laundering efforts while monitoring regulatory controls.
- Company: Join a respected wealth management firm with a collaborative culture.
- Benefits: Gain valuable experience in a professional environment with career development opportunities.
- Other info: Work alongside experienced professionals and enhance your skills in a dynamic setting.
- Why this job: Make a real impact in compliance and help protect clients and the business.
- Qualifications: Experience in financial services and a keen interest in compliance is essential.
The predicted salary is between 31500 - 38500 £ per year.
Description
About the Role
- We are looking for a motivated and detail-oriented
- Compliance Officer to join our Compliance team on a
12-month fixed term contract .
This is an excellent opportunity for someone with experience in wealth management, investment management, private banking, or financial services who is looking to develop their career within a highly regulated environment.
The successful candidate will play a key role in supporting the firm's compliance and anti-money laundering (AML) framework, helping to safeguard the business and our clients through monitoring, oversight, and regulatory controls.
You will work closely with colleagues across the business, providing guidance on compliance matters and contributing to the continuous enhancement of our risk management processes.
Key Responsibilities
- Conduct a wide range of compliance and risk monitoring activities, including reviewing system reports and alerts relating to AML, trading activity, cash positions, and large stock holdings.
- Review and investigate Data Loss Prevention (DLP) alerts, escalating concerns where appropriate and supporting adherence to firm policies.
- Assess and scrutinise complex new account applications referred by the Client Onboarding team.
- Review and approve static data amendments for complex client accounts.
- Support colleagues with compliance and anti-money laundering queries, escalating complex or higher-risk matters as required.
- Provide administration and oversight of the firm's online compliance training system.
- Assist with new SEDOL set-up requests.
- Respond to Section 793 requests.
- Support the firm's AML framework and wider compliance programme.
- Produce ad hoc reports and assist with departmental projects.
- Provide general support across the Compliance team as required.
About You
We're looking for an individual who is detail-oriented, organised, and eager to develop their expertise within compliance and financial services.
Experience & Qualifications
You will ideally have
- Experience within Financial Services, preferably in Wealth Management, Investment Management, Private Banking, or a similar environment.
- A good understanding of the UK regulatory landscape and FCA Handbook.
- Knowledge of investment products and wealth management services.
- Exposure to anti-money laundering regulations and compliance practices.
- Previous complaints handling experience would be advantageous.
- An investment, compliance, or financial planning qualification, or a willingness to undertake relevant professional development.
- Professional qualifications such as the
CISI Diploma in Investment Compliance would be highly desirable.
We also welcome applications from candidates with relevant wealth management experience who are keen to build a career in compliance.
Knowledge & Skills
Successful candidates will demonstrate
- Strong Microsoft Office skills.
- Experience with compliance and monitoring systems such as Lexis Nexis Bridger, IDU AML, Liquid Metrix Surveillance, or similar platforms.
- Good knowledge of the Wealth Management industry.
- Understanding of AML legislation, regulation, and best practice.
- Knowledge of FCA rules and the broader UK regulatory environment.
- Excellent written and verbal communication skills.
- Strong attention to detail and analytical capability.
- Effective organisational and time management skills.
- Strong interpersonal skills and the ability to build relationships across the business.
- A problem-solving mindset and willingness to take ownership.
- The ability to work independently while contributing positively as part of a team.
Why Join Us?
This role offers the opportunity to develop your career within a collaborative and professional environment, gaining broad exposure to compliance, AML, regulatory oversight, and wealth management operations.
You will work alongside experienced professionals and play an important role in helping the firm maintain the highest standards of client protection and regulatory compliance.
If you are looking for a challenging and rewarding compliance role within a respected wealth management environment, we'd love to hear from you.
Compliance Officer (FTC) in London employer: Charles Stanley
Raymond James Wealth Management is an exceptional employer that fosters a collaborative and supportive work culture, particularly within the Intermediary Partnerships Support team. Employees benefit from comprehensive training and development opportunities, ensuring personal and professional growth while contributing to meaningful client outcomes. Located in a dynamic financial services environment, the company prioritises employee well-being and offers a range of resources to enhance job satisfaction and performance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer (FTC) in London
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like Charles Stanley when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from Charles Stanley!
We think you need these skills to ace Compliance Officer (FTC) in London
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Compliance Officer (FTC), make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at Charles Stanley. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at Charles Stanley
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at Charles Stanley.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit Charles Stanley in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at Charles Stanley.
