Average Compliance Officer salary in London

We have an exciting opportunity for a Compliance Officer to join our UK Compliance team. Reporting into the Head of Compliance Advisory, your position will involve supporting the Compliance Advisory function in ensuring that the firm meets its regulatory objectives.Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week.Key ResponsibilitiesAssist in delivery of an effective compliance advisory function within CMC Markets’ UK regulated FirmsProviding daily regulatory advice to the business to ensure that commercial enterprises are conducted wholly in accordance with CMC’s regulatory obligationsActing as Compliance lead and/ or Compliance stakeholder for key commercial and regulatory change projectsProactive liaison with project stakeholders across the business and working cooperatively to ensure completion within deadlines. Report progress and escalate issues to the Head of Compliance Advisory and the Chief Compliance Officer.Being a key stakeholder/ Compliance lead for new product launches from a regulatory advisory perspectiveAssisting in coordinating key workstreams, projects and tasks (regular and ad hoc) within the Compliance team and across the businessAssisting in the day to day management of the Compliance Advisory InboxDevelop good working relationships with key stakeholders across the CMC GroupPromotion of a good compliance culture within the Compliance team and across the business, including the continual embedment of the firms’ Consumer Duty obligationsAssisting with Group initiatives and collaborations with wider Group Compliance colleaguesProduction of MI and reportsAssist the Head of Compliance Advisory in the day-to-day management of the Compliance Advisory teamWork closely with the wider Compliance team (who focus on monitoring, training and policy) to ensure a joined-up approach across the UK Compliance teamProactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance FrameworkAssist with third party queries and requests for information including those from regulators, auditors and counterpartiesMaintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative trainingWhen dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC MarketsTake all reasonable steps to ensure appropriate confidentialityUndertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role.Key Skills & ExperienceExperience of working in a Compliance advisory function with an applicable regulatory frameworkExperience of delivery of compliance projects and being compliance point of contact for business projects and workstreamsGood, broad understanding of key aspects of the UK regulatory framework applicable to CMC’s business modelGood knowledge of the products offered by CMCProactive in taking ownership of tasksAble to liaise and build effective working relationships with a range of stakeholders of all levels of seniorityCompetent in researching regulatory requirements and relating meaningful interpretations and feedback to Compliance colleagues and business stakeholdersAbility to interpret regulatory publications and assess impact upon CMCAble to communicate effectively to all levels of the businessExcellent report writing and analytical skillsCan give direction to others to produce high quality work both independently and as part of a teamProactive in suggesting and implementing process improvements where requiredCMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

About the RoleThis is a compliance-critical position within a South London housing association, sitting at the heart of resident safety and regulatory accountability. With Awaab's Law now firmly in force, the organisation is committed to full statutory compliance across its entire property portfolio, and this role is central to delivering that.As Compliance Officer, you will ensure all statutory inspections are arranged, completed and documented on time, manage contractors, liaise with residents and maintain compliance registers across all property and safety disciplines.Key ResponsibilitiesDeliver 100% compliance across all statutory areas including gas safety, fire safety and FRA action plans, electrical testing, legionella and water safety, asbestos, lifts and EPCsEnsure full compliance with Awaab's Law; maintaining the Awaab's Register and progressing all cases within statutory timescalesManage damp, condensation and mould cases in line with policy and regulatory requirementsTriage and escalate hazards correctly, ensuring all legal timeframes for investigation and completion are metKeep all compliance registers, documentation and action plans accurate and up to dateProvide monthly compliance KPIs and support internal audits, regulatory reporting and Board assuranceSupport the compliance element of the voids process and process aids and adaptations requestsEngage proactively with residents around compliance works, appointments and access arrangementsWhat We're Looking ForStrong working knowledge of housing compliance and property health and safety legislationExperience managing statutory compliance programmes including gas, fire, electrical, legionella and asbestosFamiliarity with Awaab's Law requirements and damp and mould management processesExcellent organisational skills with the ability to manage multiple workstreams and meet strict deadlinesStrong communication skills; able to engage effectively with residents, contractors and internal teamsA detail-focused approach to data, registers and reportingKey Performance Indicators100% health and safety compliance100% same-day hazard triage for Awaab's casesStage 1 hazards made safe within 24 hoursZero overdue high-risk FRA actionsInterested? Apply now or contact Brook Weissand directly for a confidential conversation.

This role is focused on supporting the compliance function within a financial services firm, ensuring adherence to regulatory requirements and internal policies. The position requires strong organizational skills, attention to detail, and the ability to manage multiple tasks efficiently. The successful candidate will work closely with various teams across the company, contributing to the firm's compliance monitoring plan and maintaining key registers and documentationRelevant Skills and KnowledgeStrong organizational skills with close attention to detail to maintain the highest level of quality.Proficiency in MS Office Suite, including Excel, Word, and PowerPoint.Self-motivated with efficient time management skills to plan workload and prioritize accordingly.Ability to deploy assertiveness skills and use initiative when appropriate to build and maintain good relationships across the organization.Excellent interpersonal skills; able to listen and communicate effectively at all levels, with exceptional written and verbal communication abilities.Team player with experience working in a collaborative environment, capable of identifying and assisting others when needed.Tactful, trustworthy, diplomatic, and able to maintain confidentiality.Alignment with the organization's values and commitment to strengthening its culture.General ResponsibilitiesComply with relevant financial services regulations and industry standards at all times.Adhere to compliance procedures related to Treating Customers Fairly (TCF), Training & Competence (T&C), financial crime prevention, and Anti-Money Laundering (AML).Stay informed about relevant products, legislative updates, and technical changes as required.Follow ethical standards within the organization at all times.Ensure all supporting documentation is maintained according to company procedures.Meet performance standards as required by the organization.Maintain accurate records of Continuing Professional Development (CPD).Specific ResponsibilitiesMaintain compliance registers, including those for Financial Promotions, UCIS promotion, high-risk clients (and review dates), and clients categorized as Elective Professional Clients.Manage the Compliance Task Workflow.Assist in identifying efficiencies and opportunities to automate tasks and processes.Support the completion of regulatory Compliance Monitoring Plans (CMP), covering thematic reviews and surveillance testing.Contribute to developing testing processes and methodologies as necessary.Conduct AML testing activities.Collaborate with relevant business areas to develop remedial actions for findings arising from compliance testing.Complete all documentation and reporting requirements to demonstrate the completion of reviews and tests.Maintain a record of findings and remedial actions, ensuring timely resolution of identified issues.Provide input on progress and results of CMP activities for management reports, potentially presenting significant findings to senior leadership.Assist with regulatory filings for UK authorities.Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates