Compliance Officer - Buy Side
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.Recommended Jobs
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