Compliance Officer - Financial Services

19 Mar 2017
18 Apr 2017
Contract Type
Full Time

Our leading Financial Services client are looking for a Compliance Officer to join their London office.

The successful candidate will be reporting to the Compliance Associate Director. You will assist in carrying out regular monitoring in various business areas and also provide compliance advice to the Tax & Business Services team.


  • Assist with the monitoring of advice given by the firm’s IFA division

  • Assist in the checking of the money laundering verification documents and information submitted by the business when setting up new client accounts

  • Assist in the compliance approval of marketing material, including financial promotions

  • Assist in the recording of breaches and errors

  • Take responsibility for the timely production of the following reports arising from the monitoring activities

  • Producing written monitoring reports to the firm’s standard template

  • Producing relevant management information and trend analysis

  • Compile breaches/incident reports arising from monitoring activity, investigate issues arising and report the outcome

  • Provide advice and guidance to the business in respect of the firm’s compliance requirements as required

  • Maintain an up-to-date understanding of regulations as they apply to the role, including FCA and ICAEW requirements

  • Undertake research into new regulations or legislation that might affect the areas covered by this role and provide advice to the Compliance Manager on the impact of these changes

  • Assist in any process review to ensure the monitoring programs continue to test all appropriate areas of risk

Skills & Experience:

  • This is a very varied role and will require someone who is flexible and adaptable and can easily move from one area of regulation to another

  • Compliance monitoring experience, preferably in a non-investment management environment

  • Report writing

  • Approving marketing material

  • KYC/On-boarding of new clients

  • A willingness to maintain up-to-date knowledge of the relevant regulatory rules and guidance

  • An industry qualification would be an advantage, or willingness to undertake relevant study

  • Preferably Degree educated

For more information, please get in touch with an updated copy of your CV.