At a Glance
- Tasks: Ensure compliance with financial regulations and manage regulatory reporting.
- Company: Roots Funding connects investors with private equity opportunities in a dynamic environment.
- Benefits: Competitive salary, flexible hybrid work, and potential for full-time transition.
- Other info: Great career growth opportunities and a chance to work with innovative financial solutions.
- Why this job: Join a fast-paced team making a real impact in private markets.
- Qualifications: 3+ years in regulatory compliance, strong analytical and communication skills required.
The predicted salary is between 25000 - 50000 £ per year.
Roots Funding is a private financial services company that connects private capital and accredited investors with institutional-grade private equity, private credit, scale-up, and real asset opportunities across Canada and selected global markets. All offerings are structured under applicable securities exemptions and are available exclusively to qualified investors. The company is focused on bringing transparency, efficiency, and liquidity to private markets through its PMX platform. Roots Funding also provides value-added services, including M&A introductions, marketing, and consulting, to support long-term, sustainable growth for portfolio companies and economies. An AI business center further supports these companies in scaling their revenue and building potential global leaders.
Position: Compliance Officer
Type: Contract (with the potential to transition to a full-time, hybrid role)
Location: United Kingdom (Hybrid / Work from Home flexibility)
Compensation: £25,000 to £50,000 annually (dependent on experience and hours)
Hours: Part-time initially, with a view to full-time in the near future
We are seeking a Compliance Officer who meets the criteria to hold the SMF3 (Executive Director), SMF16 (Compliance Oversight), and SMF17 (Money Laundering Reporting Officer, or MLRO) controlled functions with the Financial Conduct Authority (FCA). In this role, you will oversee day-to-day compliance activities, ensure strict adherence to relevant financial regulations and internal policies, and manage regulatory reporting. You will review and approve marketing materials, financial promotions, client communications, and product documentation to guarantee alignment with applicable rules. Additionally, you will conduct periodic risk assessments, compliance testing, and internal audits, recommending corrective actions where necessary. You will also provide guidance and training to internal teams, collaborate with legal and operations on new products or jurisdictions, and spearhead responses to regulatory inquiries or examinations.
Qualifications
- Regulatory Expertise: Minimum of 3 years of regulatory compliance experience within financial services, ideally with direct exposure to private markets, investment management, or private equity/credit. Must be capable of qualifying for FCA SMF16 and SMF17 functions.
- Analytical Skills: Demonstrated ability to interpret complex regulations, assess operational risk, and translate regulatory requirements into practical internal controls and procedures.
- Communication: Exceptional written and verbal communication skills, with a proven track record of writing clear policies and guiding both internal teams and external stakeholders.
- Financial Acumen: Solid understanding of finance, investment products, and market structures relevant to private equity, private credit, and real assets.
- Regulatory Knowledge: Deep understanding of the UK regulatory framework (FCA Handbook); familiarity with global financial regulations is highly preferred. Professional compliance certifications (e.g., ICA, CISI) are a strong asset.
- Professionalism & Autonomy: Proven experience working independently in a compliance or risk role, exercising sound judgment, and maintaining the highest ethical standards.
- Education: Bachelor’s degree in law, finance, business, or a related field (or equivalent professional experience). Experience within an FCA-regulated firm is strongly preferred.
- Culture Fit: Comfortable working in a dynamic, fast-paced, growth-oriented environment and collaborating effectively across remote and in-office teams.
Note: Further details regarding the scope of the role and equity/progression opportunities will be discussed during the interview stage.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer (SMF16 & SMF17 - FCA approved) in London
✨Tap into Compliance Networks
Join compliance and risk management networks like the Association of Compliance Professionals or local chapters. These communities often share part-time opportunities that might not be advertised widely, plus you'll build connections that could lead to your next gig.
✨Utilise Online Job Boards
Specific job boards like ComplianceCrossing or RiskJobs can help you zero in on part-time roles in compliance. Set up alerts for new listings so you're one of the first to apply—timeliness can really set you apart!
✨Tailor Your Networking Approach
When networking, focus on engaging with compliance professionals on platforms like LinkedIn or attending local industry meetups. Bring up specific laws or recent trends to show off your knowledge and make a memorable impression!
✨Leverage Internships for Part-Time Roles
If you've done an internship in compliance risk, reach out to your past supervisors or colleagues. They often know about part-time openings or can refer you to organisations like Roots Funding, potentially speeding up your job search.
We think you need these skills to ace Compliance Officer (SMF16 & SMF17 - FCA approved) in London
Some tips for your application 🫡
Show Off Your Compliance Knowledge:When applying for a part-time role in compliance-risk, make sure your CV highlights any relevant coursework, certifications, or experience in regulatory frameworks. We want to see your understanding of compliance standards and risk management concepts, so don’t be shy about bragging about those modules or training programmes.
Demonstrate Analytical Skills:Compliance and risk roles are all about dealing with data, so be sure to showcase your analytical skills in your application. Include specific examples of how you've used analytical tools or methods to identify risk or ensure compliance in previous roles or projects. Trust us, this will make your application stand out!
Emphasise Your Availability:Since this is a part-time role, it's really important to communicate your availability clearly. In your cover letter, let us know your preferred hours and if you're flexible. This helps us see how you can fit into our team and the schedules we need to cover.
Tailor Your Cover Letter to Show Interest:In your cover letter, show us why you want to work in compliance-risk specifically for Roots Funding. Tell us about your passion for helping organisations maintain compliance and how you can contribute to our goals. Personalising this will definitely help make your application more memorable, so take that extra step!
How to prepare for a job interview at Roots Funding
✨Understand Regulatory Frameworks
For a role in compliance-risk, it's crucial to have a solid grasp of the relevant regulations and frameworks, like GDPR or anti-money laundering laws. Brush up on these areas, and be ready to discuss how your knowledge applies to scenarios you might face at Roots Funding.
✨Prepare Case Studies
Since we’re looking at a part-time gig, interviewers may want to see how you approach real-world problems. Prepare some case studies related to risk assessment or compliance frameworks that showcase your analytical skills and decision-making process. This will help you stand out as someone who's ready to jump into the action.
✨Show Off Your Detail Orientation
In compliance, attention to detail is everything. Bring examples from your past experiences where your diligence made a difference, whether that’s spotting a regulatory oversight or ensuring a process was followed to the letter. We want to highlight how this skill can benefit Roots Funding.
✨Connect Your Part-Time Availability
Make it clear how your part-time availability aligns with the needs of Roots Funding. Talk about how your time management skills will help you keep on top of tasks and responsibilities, ensuring you can maximise your impact even with part-time hours.
