Compliance Officer - Buy Side
Generalist compliance opportunity. Looking for someone to support and effectively deputise the Head of Compliance. Client Details Our client is a well-established organisation within the financial services industry, recognised for its commitment to excellence and professionalism. As a small-sized company, they focus on providing tailored financial solutions and maintaining high standards of compliance. Description 1. Regulatory Monitoring & Interpretation Track changes to applicable UK and international regulations (e.g., FCA, PRA, GDPR, AML) and translate them into practical guidance for business stakeholders. 2. Policy Development & Governance Draft, update, and maintain internal compliance policies, procedures, and frameworks to ensure alignment with regulatory expectations and best-practice standards. 3. Compliance Advisory Support Provide day-to-day compliance advice to front-office and operational teams on products, processes, marketing materials, conflicts of interest, and conduct-risk issues. 4. Monitoring, Testing & Surveillance Execute risk-based monitoring plans, review trade/communications surveillance, identify control gaps, and recommend remediation actions. 5. Incident Management & Reporting Support investigations into breaches, complaints, or suspicious activity; prepare internal reports and assist with regulatory notifications where required. 6. Training & Culture Development Design and deliver compliance training sessions, promote a strong risk and conduct culture, and ensure staff understand key compliance obligations. Profile Previous experience in a buy-side compliance function. Generalist compliance background. Openness to a hybrid and fluid Compliance role where you have a particularly broad scope. Job Offer Competitive salary of circa £90,000+ or equivalent day rate for immediately available candidates / consultant type candidates.Opportunities for professional growth and development in compliance.Convenient London location.
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