Robert Walters
Private Side Compliance Advisory & Control Room
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Private Side Compliance Advisory & Control Room
A leading global financial institution in London is seeking a Senior Compliance Officer to join their UK Compliance team. This role offers the opportunity to work within a highly respected organisation, renowned for its commitment to regulatory excellence and supportive leadership.
You will be part of a small, knowledgeable team that values collaboration, inclusivity, and continuous professional development. The position provides flexible working opportunities through a hybrid model, allowing you to balance meaningful office time with remote work.
As a Senior Compliance Officer, you will play a pivotal role in ensuring compliance across capital markets activities, supporting both business advisory functions and control room operations. If you are looking for an engaging role where your expertise will be valued and your growth supported, this is the perfect opportunity.
Join Our Team
- Join a collaborative and inclusive compliance team in London, where your interpersonal skills and knowledge will be highly valued and nurtured through ongoing training opportunities.
- Enjoy flexible working arrangements with a hybrid model that supports both office-based collaboration and remote work, fostering connection and teamwork across global locations.
- Contribute to regulatory excellence by supporting business advisory activities and control room operations, ensuring compliant practices throughout capital markets entities.
What You'll Do
As a Senior Compliance Officer based in London, you will immerse yourself in a broad range of responsibilities that span both business advisory activities and control room operations. Your day-to-day tasks will involve:
- Monitoring information barriers between public and private sides of the business, ensuring compliant practices are maintained throughout capital markets entities.
- Leading efforts in regulatory development tracking, conducting thorough impact analyses on new regulations, providing insightful advisory services to stakeholders, delivering engaging compliance training sessions globally, drafting essential policies, compiling data for management reports, supporting control room functions such as investment research reviews and restricted list updates, performing rigorous control testing under monitoring plans, assisting with regulatory inspections, and driving continuous improvement initiatives.
Success in this role requires you to be dependable, responsive to business needs, enthusiastic about sharing knowledge with colleagues, committed to maintaining high standards of compliance practice, and eager to contribute positively within a supportive team environment.
Responsibilities
- Monitor and enforce information barriers between public and private sides of the business, ensuring adherence to relevant policies and procedures across all business lines.
- Lead regulatory development tracking and horizon scanning initiatives to enhance current processes within the compliance function.
- Conduct comprehensive regulatory impact analysis on new developments affecting UK entities, including assessment of documentation and implementation into business as usual.
- Provide face-to-face compliance training to staff in the UK and globally, coordinating with subject matter experts within compliance and control functions.
- Offer advisory services aligned to regulatory risk appetite and stakeholder needs, acting as a subject matter expert on agreed regulations.
- Draft, update, and implement compliance and regulatory policies and procedures in response to evolving requirements.
- Assist with management and board reporting requirements by compiling compliance data and associated risk metrics for regular reviews.
- Support the EMEA Control Room function by conducting investment research reviews, wall crossings, restricted list updates, and ad hoc advisory services as required.
- Carry out control testing and effective challenges under monitoring and testing plans to ensure robust compliance practices.
- Contribute to continuous improvement projects within the compliance function, supporting regulatory inspections as directed.
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What You Bring
The ideal candidate for the Senior Compliance Officer position brings proven experience from international banking or wholesale financial markets. Your background includes deep familiarity with UK or EU regulations—plus exposure to US or Canadian rules—which enables you to support cross-border compliance activities effectively. You have demonstrated responsibility when interacting with regulators or auditors, showing sensitivity towards supervisory processes. Your skillset encompasses policy drafting expertise that helps maintain clear communication across departments. Organisational abilities allow you to manage multiple priorities efficiently while being considerate of deadlines. You thrive in communal environments where sharing knowledge is encouraged; your enthusiasm for learning ensures adaptability amid evolving requirements. Analytical thinking combined with commercial awareness empowers you to assess regulatory impacts thoughtfully. Dependability shines through your consistent progress updates shared among peers. Communication skills are central—whether delivering training or compiling reports—and your proficiency with technology supports seamless workflow integration.
Requirements
- A university degree or equivalent qualification is required; legal education is advantageous for understanding complex regulatory frameworks.
- At least seven years' experience in compliance within international banking or wholesale financial markets demonstrates your dependability and depth of knowledge.
- Strong familiarity with implementing UK or EU regulations is essential; knowledge of US or Canadian regulation and exchange rules is desirable for broader coverage.
- Experience dealing with regulators as well as internal and external audit processes highlights your responsible approach to oversight.
- Proven ability in policy drafting ensures clarity in communicating compliance requirements across teams.
- Excellent organisational skills enable you to prioritise multiple projects effectively while maintaining attention to detail.
- A proactive attitude combined with enthusiasm for learning allows you to respond flexibly to changing business needs within a communal team setting.
- Analytical skills paired with commercial acumen help you interpret regulations accurately while assessing implications for business risk management.
- Ability to meet deadlines independently while keeping peers informed fosters trust within the team network.
- Strong verbal and written communication skills are vital for delivering training sessions and preparing reports; proficiency in Microsoft Word, Excel, PowerPoint, and AI tools is expected.
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What Sets This Company Apart
This organisation stands out for its unwavering commitment to regulatory excellence within the financial sector. Employees benefit from supportive leadership that encourages collaboration across global teams—creating an inclusive environment where every voice is heard. Flexible working opportunities are offered through a hybrid model that balances office-based connection with remote work options tailored to individual roles. Generous pension contributions reflect the company's dedication to long-term employee wellbeing. Training opportunities abound: staff are empowered through ongoing professional development programmes designed to nurture both technical expertise and interpersonal skills. The culture here is one of mutual respect—where dependability is celebrated alongside responsiveness—and where continuous improvement is embedded into daily practice. By joining this team, you become part of a network that values knowledge-sharing as much as operational excellence; togetherness drives success at every level.
What's Next
If you are ready to share your expertise within an inclusive team environment dedicated to regulatory excellence—apply now!
Apply today by clicking on the link provided.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
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