At a Glance
- Tasks: Support compliance monitoring and enhance the firm's compliance framework in a dynamic environment.
- Company: Multi-strategy investment management firm located in Central London.
- Benefits: Flexible part-time hours, collaborative culture, and professional growth opportunities.
- Other info: Opportunity to work on regulatory projects and improve compliance processes.
- Why this job: Join a fast-paced team and make a real impact on compliance in finance.
- Qualifications: Experience in compliance within investment management and strong understanding of UK regulations.
The predicted salary is between 40500 - 49500 £ per year.
THE COMPANY
Our client is a multi-strategy investment management business in Central London.
They are seeking a Part-Time Compliance Officer, this is a broad, hands‑on role within a collaborative and fast‑moving environment
THE RESPONSIBILITIES
- Supporting the ongoing monitoring and enhancement of the firm’s compliance framework, policies, and procedures.
- Assisting with the delivery of the Compliance Monitoring Programme and thematic reviews.
- Monitoring trading activity and investment processes against regulatory requirements, fund restrictions, and internal controls.
- Conducting surveillance across areas including market abuse, personal account dealing, communications monitoring, and conflicts of interest.
- Supporting regulatory filings and reporting obligations, including FCA, NFA, and SEC submissions.
- Providing practical compliance guidance to investment professionals and wider business teams.
- Supporting onboarding and due diligence processes for counterparties, brokers, vendors, and service providers.
- Maintaining and reviewing compliance registers, including gifts and entertainment, conflicts, and insider lists.
- Reviewing marketing materials and financial promotions.
- Assisting with the preparation and delivery of compliance training.
- Supporting regulatory examinations, audits, and investor due diligence requests.
- Contributing to regulatory change projects, process improvements, and wider compliance initiatives.
- Keeping up to date with relevant regulatory developments.
EXPERIENCE REQUIRED
- Compliance experience within an investment management firm, hedge fund, or asset manager.
- Strong understanding of the UK regulatory environment, including FCA rules and market abuse regulations.
- Familiarity with NFA and SEC requirements.
- Experience supporting front-office investment activity and trade surveillance processes.
- Excellent attention to detail and the ability to manage multiple priorities in a fast‑paced environment.
- For further information please contact Spencer Evans
Compliance Officer (Part Time) SMF16/17 in London employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer (Part Time) SMF16/17 in London
✨Tap into Compliance Networks
Join compliance and risk management networks like the Association of Compliance Professionals or local chapters. These communities often share part-time opportunities that might not be advertised widely, plus you'll build connections that could lead to your next gig.
✨Utilise Online Job Boards
Specific job boards like ComplianceCrossing or RiskJobs can help you zero in on part-time roles in compliance. Set up alerts for new listings so you're one of the first to apply—timeliness can really set you apart!
✨Tailor Your Networking Approach
When networking, focus on engaging with compliance professionals on platforms like LinkedIn or attending local industry meetups. Bring up specific laws or recent trends to show off your knowledge and make a memorable impression!
✨Leverage Internships for Part-Time Roles
If you've done an internship in compliance risk, reach out to your past supervisors or colleagues. They often know about part-time openings or can refer you to organisations like Compliance Professionals, potentially speeding up your job search.
We think you need these skills to ace Compliance Officer (Part Time) SMF16/17 in London
Some tips for your application 🫡
Show Off Your Compliance Knowledge:When applying for a part-time role in compliance-risk, make sure your CV highlights any relevant coursework, certifications, or experience in regulatory frameworks. We want to see your understanding of compliance standards and risk management concepts, so don’t be shy about bragging about those modules or training programmes.
Demonstrate Analytical Skills:Compliance and risk roles are all about dealing with data, so be sure to showcase your analytical skills in your application. Include specific examples of how you've used analytical tools or methods to identify risk or ensure compliance in previous roles or projects. Trust us, this will make your application stand out!
Emphasise Your Availability:Since this is a part-time role, it's really important to communicate your availability clearly. In your cover letter, let us know your preferred hours and if you're flexible. This helps us see how you can fit into our team and the schedules we need to cover.
Tailor Your Cover Letter to Show Interest:In your cover letter, show us why you want to work in compliance-risk specifically for Compliance Professionals. Tell us about your passion for helping organisations maintain compliance and how you can contribute to our goals. Personalising this will definitely help make your application more memorable, so take that extra step!
How to prepare for a job interview at Compliance Professionals
✨Understand Regulatory Frameworks
For a role in compliance-risk, it's crucial to have a solid grasp of the relevant regulations and frameworks, like GDPR or anti-money laundering laws. Brush up on these areas, and be ready to discuss how your knowledge applies to scenarios you might face at Compliance Professionals.
✨Prepare Case Studies
Since we’re looking at a part-time gig, interviewers may want to see how you approach real-world problems. Prepare some case studies related to risk assessment or compliance frameworks that showcase your analytical skills and decision-making process. This will help you stand out as someone who's ready to jump into the action.
✨Show Off Your Detail Orientation
In compliance, attention to detail is everything. Bring examples from your past experiences where your diligence made a difference, whether that’s spotting a regulatory oversight or ensuring a process was followed to the letter. We want to highlight how this skill can benefit Compliance Professionals.
✨Connect Your Part-Time Availability
Make it clear how your part-time availability aligns with the needs of Compliance Professionals. Talk about how your time management skills will help you keep on top of tasks and responsibilities, ensuring you can maximise your impact even with part-time hours.
