Save Job Back to Search Job Description Summary Similar JobsCompliance Officer role within a boutique buy side firm.Compliance Officer opportunity for someone seeking a 'generalist' opportunity.About Our ClientOur 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.Job Description1. Regulatory Monitoring & InterpretationTrack 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 & GovernanceDraft, update, and maintain internal compliance policies, procedures, and frameworks to ensure alignment with regulatory expectations and best‑practice standards.3. Compliance Advisory SupportProvide 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 & SurveillanceExecute risk‑based monitoring plans, review trade/communications surveillance, identify control gaps, and recommend remediation actions.5. Incident Management & ReportingSupport investigations into breaches, complaints, or suspicious activity; prepare internal reports and assist with regulatory notifications where required.6. Training & Culture DevelopmentDesign and deliver compliance training sessions, promote a strong risk and conduct culture, and ensure staff understand key compliance obligations.The Successful ApplicantPrevious 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.What's on OfferCompetitive 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.ContactRob CopeQuote job refJN-012026-6924699Phone number+44 207 776 5935Job summaryJob functionComplianceSubsectorCompliance GeneralistSectorFinancial ServicesLocationLondonContract typePermanentConsultant nameRob CopeConsultant phone+44 207 776 5935Job referenceJN-012026-6924699
