Compliance Officer - Buy Side

About Our Client

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 financial solutions and maintaining high standards of compliance.

Job Description

• 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.
• Policy Development & Governance: Draft, update, and maintain internal compliance policies, procedures, and frameworks to ensure alignment with regulatory expectations and best practice standards.
• 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.
• Monitoring, Testing & Surveillance: Execute risk based monitoring plans, review trade/communications surveillance, identify control gaps, and recommend remediation actions.
• Incident Management & Reporting: Support investigations into breaches, complaints, or suspicious activity; prepare internal reports and assist with regulatory notifications where required.
• Training & Culture Development: Design and deliver compliance training sessions, promote a strong risk and conduct culture, and ensure staff understand key compliance obligations.

The Successful Applicant

• 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.

What's on 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.