At a Glance
- Tasks: Provide compliance support, monitor regulations, and enhance compliance frameworks in financial services.
- Company: Join a leading financial services firm committed to compliance excellence.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Other info: Collaborate with diverse teams and enjoy opportunities for career advancement.
- Why this job: Make a real impact by promoting a strong compliance culture in a dynamic industry.
- Qualifications: 5+ years of compliance experience and a relevant degree or certification.
The predicted salary is between 56700 - 69300 £ per year.
We are seeking an experienced Compliance Consultant to support the ongoing development, implementation, and oversight of our compliance framework within a regulated financial services environment.
The successful candidate will provide compliance advisory support, monitor regulatory developments, assess compliance risks, and ensure alignment with applicable UK regulatory requirements and industry best practices.
The Compliance Consultant will work closely with senior management and key stakeholders to promote a strong compliance culture and support the organization's regulatory obligations.
Key Responsibilities
- Provide day-to-day compliance advisory support to business stakeholders.
- Monitor and interpret regulatory developments and assess their impact on the business.
- Review and enhance compliance policies, procedures, and internal controls.
- Conduct compliance risk assessments and recommend appropriate mitigation measures.
- Support the implementation and maintenance of compliance monitoring programs.
- Review customer onboarding, KYC, CDD, EDD, and ongoing monitoring processes.
- Assist with AML, sanctions, and financial crime compliance initiatives.
- Support regulatory reporting obligations and regulatory submissions where applicable.
- Conduct thematic reviews, compliance testing, and control assessments.
- Deliver compliance training and awareness programs across the organization.
- Prepare management reports highlighting compliance risks, findings, and recommendations.
- Support regulatory audits, inspections, and information requests.
- Investigate compliance incidents and assist with remediation plans.
- Collaborate with Legal, Risk, Operations, and Commercial teams to ensure regulatory compliance.
Qualifications & Experience
- Bachelor's degree in Law, Finance, Business Administration, Compliance, Risk Management, or a related field.
- Professional certifications such as ICA, ACAMS, CISI, or equivalent are highly desirable.
- Minimum 5 years of compliance experience within financial services, fintech, payments, banking, investment firms, brokerage, or capital markets.
- Strong understanding of UK regulatory requirements and financial services compliance frameworks.
- Previous experience within an FCA-regulated firm.
- Exposure to investment services, CFDs, FX, fintech, payments, or wealth management sectors.
- Experience with AML/CTF regulations, sanctions compliance, and financial crime controls.
- Knowledge of FCA regulatory expectations, governance requirements, and conduct standards.
- Experience conducting compliance monitoring, audits, risk assessments, and policy reviews.
- Excellent stakeholder management, communication, and report-writing skills.
- Strong analytical and problem-solving capabilities.
Compliance Consultant in London employer: Confidential Careers
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StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant in London
✨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 Confidential Careers looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Consultant in London
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 Confidential Careers. 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 Confidential Careers
✨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 Confidential Careers’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
