Senior Compliance Officer

Senior Compliance Officer

£80,000 - £90,000

We are working with a global financial services firm providing investment processing, management, and operations solutions. With a strong presence in the UK and Europe, the business is known for its innovative technology, client-focused approach, and commitment to regulatory excellence.

• Compliance Support & Governance: Support the Compliance department to ensure effective governance, internal controls, and regulatory compliance across SIEL’s operations.
• Regulatory Advice & Monitoring: Provide compliance advice on new regulatory developments and assist with monitoring reviews, reporting, and implementing recommendations.
• Training & Policy Development: Contribute to the development and delivery of compliance training, and assist with drafting or revising compliance policies and procedures.
• Regulatory Exams & Due Diligence: Support regulatory exams, queries, reporting, and provide compliance responses for proposals and due diligence reviews.
• Compliance Reviews & Incident Management: Review and ensure compliance of financial promotions, client communications, and contractual agreements; handle breaches and client complaints per relevant policies.
• Risk Management & Reporting: Assist with risk management, management reporting, and collaborate with other control functions to ensure coordinated compliance responses.

Your Profile

• Background in Asset Management, Wealth Management or similar
• Full suite of regulatory experience, spanning COBS, SYSC, CASS, MiFID, SMCR & Market Abuse
• Strong communication & stakeholder engagement skills