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For Companies At a Glance
- Tasks: Ensure compliance with regulations and monitor investment management activities.
- Company: Global asset management firm with a strong focus on compliance.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Play a vital role in shaping compliance culture and making a real impact.
- Qualifications: 5+ years in investment compliance and strong communication skills.
- Other info: Dynamic role with opportunities for growth and learning.
The predicted salary is between 36000 - 60000 £ per year.
Job Description
A growing lending and financial services firm is hiring a Compliance Officer, based in London. You’ll sit in a small, hands-on compliance team and work closely with stakeholders across the business, helping embed strong regulatory standards while supporting a fast-moving lending environment. This role offers broad exposure and scope to develop as the business continues to scale.
Responsibilities:
- Oversee compliance monitoring and run compliance reviews and follow issues through to closure.
- Monitor adherence to regulatory requirements and customer outcomes.
- Handle financial crime cases, including PEPs, sanctions and higher-risk matters.
- Support AML and CTF activity, including reviews and reporting.
- Provide practical compliance advice to support day-to-day decisions.
- Coordinate policy updates and mandatory compliance training.
- Report key risks, themes and remediation to senior management.
- Track regulatory change and assess business impact.
Requirements:
- 2–5 years’ compliance experience within an FCA-regulated mortgage or lending firm.
- CeMAP-qualified or equivalent.
- Strong knowledge of mortgage-related FCA regulation.
- Understanding of mortgage advice and distribution models.
Compliance Officer employer: Rutherford
Contact Detail:
Rutherford Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the asset management world and let them know you're on the lookout for a Compliance Officer 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 knowledge of regulatory frameworks and compliance best practices. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your expertise when it comes to market abuse risks and trading activities.
✨Tip Number 3
Don’t just wait for job postings to pop up! Be proactive and reach out directly to firms you admire. A well-crafted email expressing your interest in compliance roles can set you apart and show your enthusiasm for joining their team.
✨Tip Number 4
Finally, make sure to apply through our website! We’ve got a streamlined process that makes it easy for you to submit your application and get noticed. Plus, we love seeing candidates who take the initiative to connect with us directly.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in investment or asset management, and don’t forget to showcase your understanding of regulatory frameworks. We want to see how your skills align 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 background makes you a perfect fit for our team. Keep it concise but impactful – we love a good story!
Showcase Your Communication Skills: Since exceptional written communication is key for this role, make sure your application is clear and well-structured. Use professional language, but let your personality shine through. We appreciate authenticity!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts!
How to prepare for a job interview at Rutherford
✨Know Your Regulations
Make sure you brush up on the latest regulatory frameworks relevant to the role. Familiarise yourself with conduct rules and AML standards, as these will likely come up during your interview. Being able to discuss recent updates or changes shows that you're proactive and engaged in the compliance landscape.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your experience in compliance monitoring and oversight. Think about situations where you successfully managed conflicts of interest or implemented compliance policies. This will help demonstrate your capability and fit for the position.
✨Communicate Clearly
As a Compliance Officer, strong communication skills are essential. Practice articulating complex compliance concepts in a clear and concise manner. During the interview, aim to convey your thoughts confidently and ensure you can explain how you would advise on regulatory matters effectively.
✨Demonstrate Initiative
Employers love candidates who take initiative. Be ready to discuss how you've previously designed or executed compliance plans, or how you've driven internal awareness of regulatory responsibilities. Showing that you can lead and inspire a culture of compliance will set you apart from other candidates.
