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For Companies At a Glance
- Tasks: Support compliance with FCA regulations and enhance the firm's compliance culture.
- Company: Dynamic financial services firm focused on empowering clients to build wealth.
- Benefits: Competitive salary, professional development, and a fast-paced work environment.
- Other info: Opportunity for career growth in a rapidly evolving industry.
- Why this job: Join a high-performing team and make a real impact in compliance.
- Qualifications: Degree in Law, Finance, or related field; experience in compliance within financial services.
The predicted salary is between 60000 - 80000 £ per year.
Our Mission
We exist to empower individuals to build long-term wealth by reimagining how trading and investing work. Through innovative, client-centric solutions, we aim to enhance the overall investment experience. 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. Our culture is fast-paced, high-performing, and driven by continuous innovation.
Purpose of the Role
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.
Key Responsibilities
- 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.
Requirements
- 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.
- Strong working knowledge of FCA rules and expectations.
- Excellent analytical skills with strong attention to detail.
- Ability to operate independently while collaborating effectively with cross-functional teams.
- Strong stakeholder management and communication skills.
- High level of professionalism, integrity, and accountability.
- Excellent written skills, with experience drafting policies and regulatory communications.
- Strong organisational skills with the ability to manage multiple priorities in a fast-paced environment.
Senior Compliance Officer employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. Attend industry events or webinars to meet new people and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and recent compliance trends. We want you to be the go-to expert in the room, so practice articulating how your experience aligns with the role of a Senior Compliance Officer.
✨Tip Number 3
Showcase your analytical skills! During interviews, share specific examples of how you've identified and mitigated compliance risks in previous roles. This will demonstrate your ability to handle the responsibilities of the position.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are genuinely interested in joining our mission to empower individuals in their investment journeys.
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your experience with FCA regulations and compliance in financial services. We want to see how your skills align with our mission of empowering individuals through innovative solutions.
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 excellence. We love seeing candidates who can connect their personal values with our mission.
Showcase Your Analytical Skills: In your application, be sure to highlight your analytical skills and attention to detail. We’re looking for someone who can identify and mitigate regulatory risks effectively. Share examples of how you've done this in previous roles!
Apply Through Our Website: Don’t forget to apply 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 at StudySmarter!
How to prepare for a job interview at ETRA Talent
✨Know Your FCA Regulations
Make sure you brush up on the latest FCA regulations before your interview. Being able to discuss specific rules and how they apply to the role will show that you're not just familiar with compliance, but that you’re genuinely engaged with the industry.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles. Whether it’s conducting risk assessments or interpreting regulatory developments, having concrete examples ready will demonstrate your capability and attention to detail.
✨Demonstrate Stakeholder Management
Think about times when you've successfully managed relationships with stakeholders. Be ready to share how you’ve communicated complex compliance issues clearly and effectively, as this is crucial for a Senior Compliance Officer.
✨Emphasise Continuous Improvement
Discuss how you’ve contributed to a culture of compliance and continuous improvement in past roles. Highlight any initiatives you’ve led or been part of that enhanced compliance processes, as this aligns perfectly with the company’s mission.