compliance officer London, England
Job description
Are you frustrated by your lack of career progression? You’ve hit all your KPI’s, aced all your reviews and ticked all the necessary boxes, but that promotion just hasn’t happened!
What if I told you that you could work for a business where you control just how far you can go? No glass ceilings. No ‘dead man’s shoes’. Just you, your ability and your ambition.
Here’s a company where your career progression is in your hands and your hands only. Isn’t that refreshing! And that means you’ll join many others in enjoying a long and successful career there.
You’ll be working for an established, highly successful Compliance Consultancy that provides expert compliance advice and support across the Financial Services arena. You’ll join the Investments team and use the knowledge and experience you’ve already accumulated to assist in the delivery of projects and regulatory solutions for clients across London (almost always virtually).
You may be assisting with FCA authorisation processes or changes in permissions or ownership, reviewing financial promotions, conducting file reviews, assisting with the development of Compliance policies and procedures or simply providing Compliance advice and support to clients.
In addition, you’ll help mentor more junior colleagues and act as a point of referral as and when required.
These roles are highly varied, and you’ll get great exposure to a wide variety of businesses at all stages of development. All of which will help you take your career on to the next level.
You’ll already have gained broad Compliance experience within an investment firm (Private Equity, Fund Management, Investment Management, Wealth Management, CFD Brokerages, Trader Brokers, etc.) and will ideally have a good working knowledge of FCA regulatory rules for MiFID firms.
You’ll ideally have experience of the likes of Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and/or Training & Competence and will
possess excellent communication skills, both written and verbal.
Interested?
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at [email protected]. We’ll pick it up from there.
