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Senior Compliance Officer



Software Engineering, Legal
London, UK
Posted on Friday, June 28, 2024

The role

The Senior Compliance Officer assists the firm and senior management in relation to Compliance issues relevant to the firm, reporting directly to the MD of Compliance and Risk This is a position that will support the business with compliance advisory needs, own the execution of the compliance monitoring program plan, maintenance of policy and procedures, the lead oversight on complaints handling, submits regulatory returns, undertakes internal compliance training, and other ad hoc compliance and risk related tasks.

Key responsibilities

  • Provide advice and guidance on regulatory issues to all certified staff to ensure relevant business functions informed of the regulatory risks associated
  • Carry out sections of the Compliance Monitoring Programme, e.g. reviews relating to MAR, COBS, SYSC, SMCR, transaction reporting and ad hoc desk reviews of business areas to assess the adequacy and effectiveness of the measures and procedures put in place to ensure the company’s compliance with its regulatory obligations
  • Create and update policies and procedures and drive process improvement
  • Deliver induction training to staff / organization of online training, including providing reports on employee compliance instigated training
  • Lead on the financial promotion template approvals process and associated record keeping
  • Make regulatory filings via FCA Connect and other required regulatory data requests
  • Contribution of material to the monthly risk committee, compliance SMF reports and quarterly board reports
  • Carry out regulatory change projects as required
  • Help to maintain the core compliance regulatory registers, such as Conflicts of Interest, Complaints and Breaches
  • Maintenance of up-to-date Risk Register
  • Maintain up to date knowledge of UK and European regulatory requirements
  • Ensure Insider and Sensitive lists are kept up to date
  • Maintenance of personal account dealing system, gifts and entertainment

Competency Requirements


  • Uses professional concepts and company objectives to resolve complex issues in creative and effective ways.
  • Provides advice and weighs in on complex decisions and problems that impact other teams or the company.
  • Is an expert in a specific area of their field
  • Researches and proposes new tools to facilitate self-, team- and company-wide learnings.

Ownership and delivery

  • Able to scope and define work or projects into well-defined milestones and timeframes.
  • Regularly delivers projects or work as and when required; expectations are always managed.
  • Identifies and proactively tackles future issues before they escalate.

Communication and Leadership

  • Effectively communicates a plan and vision to both team and to management at a project level and gets buy-in on solutions.
  • Provides feedback on projects outside of their core area.
  • Makes others (both above and below) better through mentorship or guidance on specific areas related to their functional knowledge.
  • Contributes to the career development of others and empowers those around them.

Discipline Requirements

  • Actively input into Compliance processes, and risks are mitigated
  • You've anticipated issues or requirements in advance and worked to raise those with key people outside your function. You can confidently talk about Compliance policy and procedures to individuals and the wider company
  • You have excellent organization and prioritization skills
  • You have an understanding of business needs and risk and how Compliance plays a part in varying situations
  • Are committed to supporting the Company on Compliance related matters
  • Are approachable balancing professionalism and friendliness

Required knowledge/qualifications/memberships and ongoing training requirement

  • Robust relevant generalist compliance experience in an FCA regulated investment firm or bank
  • Have a strong academic background, undergraduate degree is preferable
  • CISI Investment Compliance Diploma is preferable

● CPD log 35 hours (per year)

Interview Process

  1. Initial chat with Talent Partner (Hangout)
  2. 1st stage - interview with MD Compliance & Risk
  3. 2nd stage - case study
  4. 3rd stage - interview with MD Compliance, Risk & Legal Counsel
  5. Final interview - CFO
  6. Offer
  7. Join!