At a Glance
- Tasks: Lead regulatory development and provide compliance training globally.
- Company: Global wholesale banking business based in London.
- Benefits: Competitive salary, professional growth, and a dynamic work environment.
- Other info: Opportunity to work with international teams and enhance your career.
- Why this job: Make a real impact in compliance within a first-class employer.
- Qualifications: 7+ years in compliance, strong knowledge of UK/EU regulations.
The predicted salary is between 40500 - 49500 £ per year.
THE COMPANY
Our client is a global wholesale banking business based in London. With an international reach, they are a truly first class employer.
THE RESPONSIBILITIES
- Leading on the regulatory development tracking and horizon scanning to enhance the team’s current processes.
- Conducting regulatory impact analysis on new regulatory developments as they apply to UK entities including assessment of other documentation as appropriate.
This will include tracking and monitoring through the lifecycle of the regulatory development as well as implementation into BAU.
- Assisting the team in meeting the overall Enterprise Compliance Programme (ECP) requirements and ensuring compliance with firm policies and procedures.
- Providing face to face compliance training to staff in UK and globally on the Compliance programs, on UK regulatory requirements, coordinating as needed with other SMEs within Compliance and control functions.
- Providing advice and implement solutions aligned to regulatory risk appetite and stakeholder needs, in partnership with business.
- Act as a subject matter expert on relevant regulations as agreed. Set out/update Compliance/Regulatory policies and procedures.
- Assist with the other management and board reporting requirements within Compliance and business/group management.
EXPERIENCE REQUIRED
- A university graduate or equivalent. Legal education will be an advantage.
- Minimum of 7 years’ experience in compliance in international banking and the wholesale financial markets
- Strong knowledge and experience in implementing the UK and/or EU regulations.
- Knowledge of US regulation, Canadian Regulation and exchange rules is desirable.
- Good knowledge and experience of dealing with Regulators, Internal and External Audit.
- Knowledge of regulatory and supervisory processes.
- Monitoring and Testing experience an advantage.
- Sound knowledge of Compliance regulatory requirements and the control environment best practices that are operated within a corporate banking and markets type business.
- Experience in policy drafting.
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Senior Compliance Officer employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Officer
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
