Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Support compliance, client onboarding, and maintain policies in a fast-paced environment.
- Company: Dynamic FCA regulated financial services firm based in London.
- Benefits: Competitive salary, company pension, and private medical insurance after qualifying period.
- Why this job: Join a collaborative team and make a real impact in the financial services sector.
- Qualifications: Experience in compliance and excellent communication skills required.
- Other info: Full-time role with opportunities for growth and development.
The predicted salary is between 28800 - 48000 £ per year.
A professional FCA regulated financial services business based in London seeks an experienced candidate for support in compliance, client onboarding and maintaining policies. We are a fast-paced and inclusive firm and a candidate with a legal background and FCA experience would be advantageous.
We are looking for an experienced Compliance Executive to join our team and provide support to our staff. The successful candidate will be responsible for a variety of tasks, including customer onboarding, maintaining policies, assisting the finance department and carrying out general office administration.
Key Responsibilities:- Onboarding for new clients and serving existing clients.
- Assist with carrying out internal compliance audits as per framework standards.
- Ensuring all client documentation required for compliance purposes is obtained.
- Contacting clients via email/phone to chase outstanding documentation.
- Deal with client compliance issues and queries.
- Conduct continual client due diligence.
- Reviewing and updating client information and ensuring it is kept up to date.
- SMCR/Staff Training records - FCA compliance related.
- Maintain website information and policies update.
- Maintaining policies, client documentation and ensuring regulatory disclosures are up to date.
- General office administrative duties.
- Assist the treasury team with monitoring, tracking client payment requests and callback to verify instructions.
- Assist with opening new counterpart banking/financial institution accounts.
- Any other ad hoc office admin/compliance.
- Excellent communication skills, written and telephone.
- Advanced Word, Excel and MS Office applications.
- Knowledge of working in Financial Services.
- Experience of working with online onboarding software would be advantageous.
Job Types: Full-time, Permanent
Salary: Subject to experience.
Benefits: (after qualifying period) Company pension, Private medical insurance
Schedule: In Office, Monday to Friday – in office 8.30am - 5.30pm with 1 hour lunch.
Compliance Executive in London employer: Global Investment Strategy UK Ltd
Contact Detail:
Global Investment Strategy UK Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Executive in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the lookout for a Compliance Executive role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your compliance knowledge and FCA regulations. We recommend practising common interview questions related to client onboarding and compliance audits, so you can showcase your expertise and confidence when it counts.
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can go a long way in leaving a positive impression. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Executive position. We’re always on the lookout for talented individuals, and applying directly can help us see your application faster!
We think you need these skills to ace Compliance Executive in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Executive role. Highlight your experience in compliance, client onboarding, and any relevant FCA knowledge. We want to see how your background fits with what we're looking for!
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 your skills can benefit our team. Keep it concise but engaging – we love a good story!
Show Off Your Communication Skills: Since excellent communication is key for this role, make sure your written application reflects that. Use clear language, proper formatting, and check for any typos. We appreciate attention to detail!
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’s super easy!
How to prepare for a job interview at Global Investment Strategy UK Ltd
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to the FCA. Familiarise yourself with the latest updates and how they impact client onboarding and documentation. This will show that you're not just interested in the role but are also proactive about staying informed.
✨Showcase Your Communication Skills
Since excellent communication is key for this role, prepare examples of how you've effectively communicated with clients or colleagues in the past. Think about times when you resolved compliance issues or clarified complex information. Practising these scenarios can help you articulate your experience clearly during the interview.
✨Demonstrate Your Organisational Skills
As a Compliance Executive, you'll need to juggle multiple tasks. Be ready to discuss how you manage your time and keep track of client documentation and compliance audits. You might even want to bring along a planner or digital tool you use to stay organised, as it can serve as a great visual aid during your discussion.
✨Prepare Questions About the Company
Research the company’s values and recent developments in the financial services sector. Prepare thoughtful questions that show your interest in their operations and culture. This not only demonstrates your enthusiasm but also helps you assess if the company is the right fit for you.
