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- Tasks: Support compliance with FCA regulations and promote a strong compliance culture.
- Company: Empowering individuals to build wealth through innovative trading and investing.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Join a trusted team making a real impact in the financial services sector.
- Qualifications: Degree in Law, Finance, or Economics; experience in compliance within financial services.
- Other info: Opportunity for career growth in a fast-paced, evolving industry.
The predicted salary is between 55000 - 65000 £ per year.
We exist to empower individuals to build long-term wealth by reimagining how trading and investing work. With a large and growing global client base and significant assets under management, our growth reflects the trust we’ve built and our commitment to excellence.
As a Senior Compliance Officer, you will play a key role in supporting the Head of Compliance in ensuring the firm’s adherence to all applicable regulatory requirements in the United Kingdom, particularly under FCA regulations. You will act as a trusted advisor to the business, helping to embed a strong compliance culture while enabling commercial objectives.
- Support and advise the business on day-to-day compliance matters, ensuring alignment with FCA regulations and internal policies.
- Lead and perform compliance risk assessments, identifying, evaluating, and mitigating regulatory risks.
- Prepare and review regulatory submissions and reports to the FCA.
- Develop, enhance, and maintain compliance policies, procedures, and frameworks in line with evolving regulatory requirements and industry best practice.
- Monitor and interpret regulatory developments, providing clear and actionable guidance to stakeholders.
- Maintain and oversee key compliance registers, ensuring accuracy and completeness.
- Contribute to strategic compliance planning and support senior management decision-making.
- Act as a key point of contact during regulatory inspections and audits, liaising with auditors and regulators as required.
- Execute and enhance the Compliance Monitoring Programme, including conducting thematic and desk-based reviews across the business.
- Promote a culture of compliance and continuous improvement across the organisation.
Bachelor’s degree in Law, Finance, Economics, or a related discipline.
Proven experience in a compliance role within financial services, ideally in a regulated UK environment.
Excellent written skills, with experience drafting policies and regulatory communications.
Senior Legal and Regulatory Affairs Officer in City of London employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Legal and Regulatory Affairs Officer in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the legal and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and recent compliance trends. We want you to be the go-to person for compliance discussions, so show off your knowledge and confidence!
✨Tip Number 3
Don’t just wait for job openings to pop up. Be proactive! Follow companies you admire and engage with their content on social media. This can help you get noticed and might even lead to opportunities before they’re advertised.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in being part of our team and culture.
We think you need these skills to ace Senior Legal and Regulatory Affairs Officer in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experiences that align with the Senior Compliance Officer role. Highlight your experience in compliance, especially within financial services, and don’t forget to mention any relevant regulatory knowledge you have!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for us at StudySmarter. Be sure to mention your understanding of FCA regulations and how you can contribute to our compliance culture.
Showcase Your Writing Skills: Since excellent written skills are key for this role, make sure your application is clear, concise, and free of errors. If you’ve drafted policies or regulatory communications before, mention those experiences to demonstrate your capabilities.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at ETRA Talent
✨Know Your Regulations
Make sure you brush up on FCA regulations and any recent changes that might affect the role. Being able to discuss these confidently will show your understanding of the compliance landscape and how it impacts the business.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully navigated compliance challenges. Highlight your experience in conducting risk assessments or preparing regulatory submissions, as this will demonstrate your hands-on expertise.
✨Demonstrate Your Advisory Skills
Think about how you can position yourself as a trusted advisor. Be ready to discuss how you've influenced compliance culture in previous roles and how you can help the company align its commercial objectives with regulatory requirements.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance strategies and future regulatory challenges. This not only shows your interest but also your proactive approach to understanding how you can contribute to their goals.