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- Tasks: Lead compliance efforts in a dynamic investment banking environment and influence key stakeholders.
- Company: Join a prestigious investment banking firm in London with a collaborative culture.
- Benefits: Competitive salary, professional development, and exposure to global compliance strategies.
- Why this job: Shape compliance strategy and make a real impact in a high-visibility role.
- Qualifications: Experience in business compliance and strong knowledge of UK & EU regulations.
- Other info: Opportunity for career growth in a fast-paced, high-performing team.
The predicted salary is between 60000 - 80000 £ per year.
Are you a seasoned Compliance professional looking to step into a high-impact, front-office aligned role? We’re partnering with an Investment Banking firm in London Branch to hire a Business & Functions Compliance Officer to support key Banking business lines and act as a trusted advisor to senior stakeholders. This is a high-visibility role sitting at the intersection of Compliance and the Business — ideal for someone who enjoys influencing, partnering, and driving best-in-class regulatory standards in a dynamic environment.
The Role
As a senior member of the Business & Functions Compliance team, you will act as the lead Compliance contact for designated Banking business areas. You’ll play a pivotal role in shaping and delivering the local compliance framework, aligned with global strategy. You’ll work closely with senior management, front office teams, and Head Office Compliance, ensuring consistent application of regulatory standards across jurisdictions.
Key Responsibilities
- Policies & Regulatory Framework
- Develop, enhance, and maintain compliance policies and procedures aligned to UK regulatory requirements and global standards
- Partner with Regulatory teams to ensure an effective regulatory watch framework
- Contribute to global policy development across Banking businesses
- Advisory & Business Partnering
- Act as a trusted advisor to front office and senior stakeholders
- Provide timely, pragmatic compliance guidance on regulatory requirements and best practice
- Support new product/business initiatives with risk assessments and regulatory input
- Coordinate responses to regulatory enquiries
- Training & Awareness
- Design and deliver targeted compliance training programmes
- Drive awareness campaigns to ensure strong regulatory understanding across the business
- Monitoring & Risk Oversight
- Support and enhance the Compliance Monitoring Programme
- Conduct annual Compliance Risk Assessments
- Participate in risk-based business reviews and track remediation actions
- Governance & Conduct
- Oversee conflicts of interest management alongside Control Room teams
- Support SMCR, FCA registration, and Conduct-related matters
- Escalate key risks and breaches appropriately
- Reporting & Stakeholder Management
- Produce meaningful management information and reporting
- Build strong relationships with global compliance teams and Head Office
- Ensure consistency of compliance standards across jurisdictions
What We’re Looking For
- Proven experience in Business/Front Office Compliance within an investment banking environment
- Strong knowledge of UK & EU regulations (e.g. MAR, MiFID II, EMIR, SMCR) with exposure to global frameworks (US/APAC a plus)
- Experience supporting Private Side / Banking businesses
- Confident communicator with the ability to influence senior stakeholders
- Strong analytical mindset with sound judgement under pressure
- Ability to manage multiple priorities in a fast-paced environment
Professional qualifications (Legal, Compliance, Accountancy) are advantageous. French language skills are a plus, but not essential.
Why This Role?
- High-impact, business-facing Compliance role
- Exposure to global stakeholders and cross-border activities
- Opportunity to shape and influence compliance strategy locally and globally
- Collaborative, high-performing team environment
If you’re looking to step into a role where Compliance is truly a strategic partner to the business, I’d love to speak with you.
Business Compliance Officer (London) in Slough employer: LevelUP HCS
Contact Detail:
LevelUP HCS Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Business Compliance Officer (London) in Slough
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out to professionals on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that dream job.
✨Ace the Informational Interview
Set up informal chats with folks already working in compliance roles. This is your chance to learn about their experiences and get insider tips. Plus, it shows your genuine interest in the field, which can make a lasting impression!
✨Showcase Your Skills
When you get the chance to meet potential employers, be ready to talk about your relevant experience and how it aligns with their needs. We recommend preparing specific examples of how you've tackled compliance challenges in the past—this will help you stand out from the crowd.
✨Apply Through Our Website
Don’t forget to check out our website for the latest job openings! Applying directly through us not only gives you access to exclusive roles but also shows your commitment to joining our team. Let’s make it happen together!
We think you need these skills to ace Business Compliance Officer (London) in Slough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Business Compliance Officer. Highlight your experience in investment banking and compliance, especially any work with UK and EU regulations. We want to see how your background aligns 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 the perfect fit for this high-impact role. Share specific examples of how you've influenced compliance strategies or partnered with senior stakeholders in the past. Let us see your personality too!
Showcase Your Skills: In your application, don’t forget to highlight your analytical mindset and ability to manage multiple priorities. We’re looking for someone who can thrive under pressure, so give us examples that demonstrate these skills in action.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it shows you’re keen to join our team at StudySmarter!
How to prepare for a job interview at LevelUP HCS
✨Know Your Regulations
Brush up on UK and EU regulations like MAR, MiFID II, and EMIR. Being able to discuss these confidently will show that you’re not just familiar with compliance but that you can apply this knowledge in a practical setting.
✨Showcase Your Advisory Skills
Prepare examples of how you've acted as a trusted advisor in previous roles. Think about times when you provided pragmatic compliance guidance or influenced senior stakeholders. This will demonstrate your ability to partner effectively with the business.
✨Demonstrate Analytical Thinking
Be ready to discuss how you approach risk assessments and compliance monitoring. Share specific instances where your analytical mindset helped identify potential issues or improve compliance processes.
✨Engage with the Team Spirit
Highlight your experience working in collaborative environments. Talk about how you’ve contributed to team success and built strong relationships with global compliance teams, as this role requires a high level of teamwork and communication.