CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
My client is a Financial Services firm with their European headquarters in the City of London.
The Senior Compliance Officer will be responsible for:
- Assisting with practical changes to accommodate new legal or regulatory requirements.
- Maintaining compliance policies, procedures and other central compliance duties (e.g. breach register, PA dealing notifications etc).
- Preparation of management information for executive committees or other relevant stakeholders.
- Working closely with the group Legal and Compliance team or other internal stakeholders where necessary.
- Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies.
- Helping to update the Compliance Monitoring Programme following any changes to the business or market behaviour.
The ideal candidate for the Senior Compliance Officer role will have/be:
- 3-6 years of experience in an FCA regulated firm as part of a regulatory function.
- Knowledge of compliance in a 'sell-side' environment (Wholesale/Investment Banking etc.)
- Someone who strives to understand the impact of regulatory change and can apply this understanding to a diverse business
- An effective communicator of complex regulatory issues to key stakeholders
- Someone who is able to create efficient and effective solutions to regulatory challenges
- Someone who uses their initiative and seeks to improve the processes and policies which guide the group
Negotiable, competitive basic salary plus benefits
An opportunity to be part of a high growth, technology driven firm
Excellent learning and development opportunities to progress your career within the regulatory field