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- Tasks: Shape compliance processes and support strategic projects in a fast-growing digital asset firm.
- Company: Dynamic pre-IPO financial services business with a forward-thinking culture.
- Benefits: Competitive salary, share options, hybrid working, and strong benefits.
- Why this job: Be instrumental in building a compliance function from the ground up.
- Qualifications: 5-7 years of compliance experience in financial services and strong regulatory knowledge.
- Other info: Exciting opportunity to influence compliance in an unregulated environment preparing for licensing.
The predicted salary is between 36000 - 60000 ÂŁ per year.
This is a rare opportunity to join a high-growth, pre-IPO financial services business operating in a forward-thinking, fast-moving sector. The role sits as the No.2 to the General Counsel & Head of Compliance, giving the right candidate high visibility, responsibility, and influence across the European compliance function.
They are looking for a Compliance Officer (5–7 years’ experience) who wants more than advisory work – someone who can roll up their sleeves and be involved in everything from hands-on administrative tasks to strategic projects. This is a role for someone who is excited to own key compliance processes and help build out a function from the ground up, supporting a growing international business that is currently unregulated but preparing for licensing.
Key ResponsibilitiesThis is a fully hands-on role, combining operational delivery with strategic oversight:
- Reviewing and approving marketing, sales, distribution, and financial promotions activity
- Ensuring processes, controls, and audit trails are robust and scalable
- Managing compliance training programs across the business, including operational rollout
- Maintaining risk registers, policies, and procedures, ensuring governance standards are met
- Supporting DDQ processes and liaising with external partners
- Providing pragmatic compliance advice to business teams
- Helping build the compliance function, from administrative processes to strategic initiatives
- Acting as the right-hand to the GC & Head of Compliance, supporting both day-to-day operations and longer-term projects
- Qualified Compliance professional with 5–7 years’ experience in financial services
- Strong working experience of supporting marketing material from a compliance/audit perspective. Comfortable working hands-on, supporting the team on operational tasks while also contributing to strategic planning
- Strong understanding of UK and EU financial regulation, with ability to make independent compliance decisions
- Excited to shape a growing compliance function in a fast-scaling, international environment
- Confident working in an unregulated environment with licensing ambitions
- Competitive base salary
- Share options / equity – Pre-IPO upside
- Hybrid working (London)
- Strong wider benefits
- The chance to be instrumental in shaping a growing compliance function at a pivotal stage
If you’re interested in applying, we’re shortlisting candidates as we speak, as the client is keen to review CVs ahead of the Christmas break. Drop me an email at luke.masih@thesjp.co.uk or click “Apply” below!
Compliance Officer - Digital Asset Management Firm in City of London employer: The Stephen James Partnership
Contact Detail:
The Stephen James Partnership Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - Digital Asset Management Firm in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance needs. Think about how your experience aligns with their goals, especially in a fast-scaling environment. Show them you’re not just a fit for the role, but a perfect match for their culture!
✨Tip Number 3
Don’t shy away from showcasing your hands-on experience! Be ready to discuss specific projects where you’ve rolled up your sleeves and made a difference. Employers love candidates who can demonstrate practical skills alongside strategic thinking.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we’re always on the lookout for passionate candidates who want to shape the future of compliance in a dynamic environment. Don’t miss out!
We think you need these skills to ace Compliance Officer - Digital Asset Management Firm in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Compliance Officer. Highlight your 5-7 years of experience in financial services and any hands-on compliance tasks you've tackled. We want to see how you can roll up your sleeves and get involved!
Showcase Your Skills: Don’t just list your skills; demonstrate them! Use specific examples of how you've supported marketing materials from a compliance perspective or contributed to strategic planning. This will help us see your practical experience in action.
Be Clear and Concise: Keep your application clear and to the point. We appreciate straightforward communication, so avoid jargon and fluff. Make it easy for us to see why you're the perfect fit for this fast-paced environment.
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 don’t miss out on any important updates. Plus, we love seeing candidates who follow our preferred route!
How to prepare for a job interview at The Stephen James Partnership
✨Know Your Compliance Stuff
Make sure you brush up on UK and EU financial regulations before the interview. Being able to discuss specific compliance frameworks and how they apply to digital asset management will show that you're not just familiar with the basics, but that you can make independent decisions.
✨Show Your Hands-On Experience
Prepare examples of your previous hands-on compliance work. Whether it’s reviewing marketing materials or managing compliance training programmes, having concrete examples ready will demonstrate your ability to roll up your sleeves and get involved in operational tasks.
✨Be Ready for Strategic Discussions
Since this role involves building a compliance function from the ground up, think about how you would approach strategic planning. Be prepared to discuss your ideas on scaling processes and controls, and how you can contribute to the long-term vision of the compliance team.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance goals and challenges. This shows your genuine interest in the role and helps you understand how you can fit into their plans, especially in an unregulated environment with licensing ambitions.
