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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 industry.
- Qualifications: Bachelor’s degree in Law, Finance, or related field; compliance experience preferred.
- Other info: Opportunity for career growth in a fast-paced, evolving regulatory landscape.
The predicted salary is between 60000 - 80000 £ 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 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 Regulatory Affairs Officer in City of London
✨Tip Number 1
Network like a pro! Reach out to professionals in the compliance field on LinkedIn or at industry events. We can’t stress enough how valuable personal connections can be in landing that Senior Compliance Officer role.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and recent compliance trends. We recommend having specific examples ready to showcase your experience in compliance risk assessments and policy development.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. We suggest checking out our website for tailored opportunities that fit your expertise in regulatory affairs.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can set you apart from other candidates. We believe it shows your enthusiasm and professionalism, which are key traits for a Senior Compliance Officer.
We think you need these skills to ace Senior Legal Regulatory Affairs Officer in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your experience in compliance, especially within financial services and FCA regulations. We want to see how your background aligns with our mission of building trust and excellence.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our culture of continuous improvement. Be sure to mention specific experiences that demonstrate your skills.
Showcase Your Writing Skills: Since excellent written skills are key for this role, make sure your application is clear, concise, and free of errors. We want to see your ability to draft policies and regulatory communications right from the start!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. 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 expertise and commitment to compliance.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully navigated compliance challenges. This could include risk assessments or policy development, as it demonstrates your hands-on experience in a regulated environment.
✨Ask Insightful Questions
Come prepared with questions that show your interest in the company's compliance culture and future regulatory challenges. This not only shows your enthusiasm but also helps you gauge if the company aligns with your values.
✨Communicate Clearly
Since excellent written skills are crucial for this role, practice articulating your thoughts clearly during the interview. Use concise language and avoid jargon unless necessary, ensuring your points are easily understood.