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For Companies At a Glance
- Tasks: Support senior compliance functions and ensure adherence to FCA standards.
- Company: Join a well-established wealth and asset management firm in Hertfordshire.
- Benefits: Enjoy a hybrid work model with a competitive salary of £50k-£60k.
- Why this job: Be part of a team that promotes ethical standards and regulatory compliance.
- Qualifications: Experience in compliance and knowledge of FCA regulations are essential.
- Other info: Opportunity for professional development and training in a dynamic environment.
The predicted salary is between 40000 - 84000 £ per year.
Compliance Generalist
Boutique Investment Bank
Location: London
Contract Term: 6-9 months (Immediate start needed – 2 weeks notice or less)
Salary: £80k-£95k Pro Rata
About the Role:
A well-established financial services firm specialising in corporate finance and investment advisory is seeking a Compliance Generalist to support the enhancement of its compliance framework. The ideal candidate will have experience working within regulated financial services, particularly in corporate finance or investment firms.
Key Responsibilities:
- Review and update policies and procedures to ensure compliance with FCA regulations.
- Enhance and implement a robust compliance monitoring framework.
- Conduct regular compliance reviews and risk assessments.
- Identify regulatory gaps and implement necessary controls and improvements.
- Provide guidance and training to internal teams on compliance best practices.
- Support transaction monitoring, due diligence, and client onboarding processes.
- Oversee regulatory reporting and liaise with relevant authorities.
- Ensure adherence to AML, KYC, and financial crime prevention measures.
- Assist in internal audits, compliance investigations, and remediation efforts.
- Support senior management in regulatory interactions and enforcement responses.
Ideal Candidate:
- Experience working within a regulated financial institution, preferably with exposure to corporate finance.
- Strong knowledge of FCA rules, compliance monitoring, and regulatory frameworks.
- Proven ability to assess and improve regulatory policies effectively.
- Detail-oriented with excellent analytical and communication skills.
This is an excellent opportunity for a compliance professional to contribute to the development of a strong regulatory framework within a dynamic financial services firm.
Compliance Officer employer: FS Talent Group
Contact Detail:
FS Talent Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarize yourself with the Financial Services and Markets Act 2000 and the FCA Conduct Rules. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the wealth management and asset management sectors. Attend industry events or join relevant online forums to connect with others who can provide insights and potentially refer you to opportunities.
✨Tip Number 3
Stay updated on the latest regulatory changes and compliance best practices. Subscribe to industry newsletters or follow regulatory bodies on social media to ensure you're always informed.
✨Tip Number 4
Prepare to discuss real-world compliance scenarios during your interview. Think of examples where you’ve successfully navigated compliance challenges, as this will showcase your practical experience and problem-solving skills.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Compliance Officer position. Understand the key responsibilities and requirements, especially those related to regulatory compliance and communication with the FCA.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance, particularly in wealth management or asset management. Emphasize your understanding of the Financial Services and Markets Act 2000 and FCA Conduct Rules.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your ability to uphold ethical standards. Mention specific examples of how you've managed compliance frameworks or trained staff in previous roles.
Highlight Continuous Learning: In your application, emphasize your commitment to staying informed about regulatory changes and your proactive approach to professional development in compliance. This shows you are dedicated to maintaining high standards in the field.
How to prepare for a job interview at FS Talent Group
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the Financial Services and Markets Act 2000 and FCA Conduct Rules. Be prepared to discuss how these regulations impact the role and how you would ensure compliance within the organization.
✨Showcase Your Communication Skills
Since maintaining open communication with regulators is crucial, be ready to provide examples of how you've effectively communicated compliance issues in the past. Highlight your ability to convey complex information clearly and concisely.
✨Demonstrate Ethical Standards
Prepare to discuss how you promote ethical standards in your previous roles. Share specific instances where you upheld or enforced ethical practices, as this will show your commitment to fostering a compliant culture.
✨Stay Updated on Regulatory Changes
Research recent changes in regulations that may affect the wealth management sector. Being knowledgeable about current events will demonstrate your proactive approach to compliance and your dedication to continuous learning.
