At a Glance
- Tasks: Lead compliance framework design and enhance governance in investment banking.
- Company: Dynamic investment bank focused on regulatory excellence.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Onsite role with opportunities for career advancement.
- Why this job: Make a real impact in compliance and shape the future of financial governance.
- Qualifications: Strong background in compliance frameworks and investment banking experience required.
The predicted salary is between 60000 - 80000 £ per year.
Location: London
Working pattern: 5 days onsite
Contract: July to December
Eligibility: Must have the right to work in the UK. No sponsorship available.
Role Overview
We are seeking a Compliance Subject Matter Expert with a strong background in compliance framework matters within an investment banking environment. This individual will play a key role in supporting the Compliance Audit function, bringing deep knowledge of regulatory compliance structures, governance, controls, and framework effectiveness.
The ideal candidate will also have hands-on experience across core compliance disciplines including:
- Governance and accountability
- Compliance risk assessments
- Regulatory change management
- Compliance monitoring (non-Financial Crime)
- Risk and Control Self-Assessments (RCSA)
- Broader compliance framework design and operation
Key Responsibilities
- Act as the SME for compliance framework design, assessment, and enhancement within an investment banking setting.
- Support and challenge the effectiveness of compliance policies, procedures, governance, and control frameworks.
- Provide expertise across governance and accountability frameworks, ensuring clear ownership, escalation, and oversight arrangements are in place.
- Assess and enhance compliance risk assessment methodologies and processes.
- Review and advise on regulatory change management frameworks, including how regulatory developments are tracked, interpreted, implemented, and governed.
- Evaluate compliance monitoring programmes with specific experience in non-Financial Crime compliance monitoring.
- Support and assess RCSA processes, including control identification, risk assessment, control effectiveness, and issue tracking.
- Work closely with Compliance Audit teams to review framework adequacy, identify gaps, and recommend improvements.
- Assess regulatory compliance processes and ensure alignment with internal standards and external obligations.
- Provide insight into risk and control environments across investment banking activities.
- Partner with stakeholders across compliance, audit, risk, and business functions to strengthen framework maturity and oversight.
- Contribute to audit planning, issue validation, remediation tracking, and thematic reviews.
- Advise on best practice in compliance governance and controls within a complex financial services environment.
Compliance SME in London employer: Robert Half
As a Compliance Subject Matter Expert in London, you will join a dynamic team within a leading investment banking environment that prioritises compliance excellence and employee development. Our collaborative work culture fosters innovation and continuous learning, offering you the opportunity to enhance your expertise while contributing to critical compliance frameworks. With a strong commitment to employee growth and a supportive atmosphere, we ensure that our team members thrive both professionally and personally.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance SME in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and investment banking sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance frameworks and regulatory changes. We recommend practising common interview questions related to compliance and having examples ready to showcase your expertise.
✨Tip Number 3
Don’t just apply and wait! Follow up on your applications through our website. A quick email or LinkedIn message can show your enthusiasm and keep you on their radar.
✨Tip Number 4
Tailor your approach for each role. Highlight your hands-on experience with compliance risk assessments and governance in your conversations. Show them you’re the perfect fit for their specific needs!
We think you need these skills to ace Compliance SME in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance SME role. Highlight your experience in compliance frameworks, governance, and risk assessments. We want to see how your background fits perfectly 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 in investment banking and how your skills can help us enhance our compliance framework. Keep it engaging and relevant!
Showcase Relevant Experience:When filling out your application, be specific about your hands-on experience with compliance monitoring and regulatory change management. We love seeing concrete examples of how you've tackled similar challenges in the past.
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 gives you a chance to explore more about StudySmarter and what we stand for!
How to prepare for a job interview at Robert Half
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance frameworks, especially within investment banking. Be ready to discuss specific regulations and how they impact governance and controls. This will show that you’re not just familiar with the theory but can apply it practically.
✨Prepare Real-World Examples
Think of concrete examples from your past experience where you've successfully implemented or enhanced compliance frameworks. Be prepared to explain your thought process and the outcomes. This will help demonstrate your hands-on expertise in compliance risk assessments and regulatory change management.
✨Understand the Company’s Compliance Culture
Research the company’s compliance policies and any recent regulatory changes they’ve faced. Showing that you understand their specific challenges and how you can contribute to their compliance audit function will set you apart from other candidates.
✨Engage with Stakeholders
Be ready to discuss how you would partner with various stakeholders across compliance, audit, and risk functions. Highlight your communication skills and ability to foster collaboration, as this is crucial for enhancing framework maturity and oversight in a complex environment.
