Compliance Consultant

Confidential Careers; Greater London; Sur place; GBP 60 000 - 90 000; Plein temps

Résumé du poste

Confidential Careers is seeking an experienced Compliance Consultant to support the ongoing development, implementation, and oversight of our compliance framework within a regulated financial services environment. The role focuses on advisory support, monitoring regulatory developments, risk assessment, and ensuring alignment with UK requirements.

You will work with senior management, review policies and controls, conduct risk assessments, and contribute to AML, sanctions, and financial crime

Qualifications

• Bachelor's degree or equivalent in Law, Finance, Business, Compliance, Risk Management or related field.
• 5+ years of compliance experience within financial services, fintech, payments, banking, investment firms, brokerage, or capital markets.
• Strong understanding of UK regulatory requirements and financial services compliance frameworks.
• Experience with FCA-regulated firms and related governance and conduct expectations.
• ACAMS/ICA/CISI or equivalent certifications are desirable.

Responsabilités

• Provide day-to-day compliance advisory support to business stakeholders.
• Monitor regulatory developments and assess impact on the business.
• Review and enhance compliance policies, procedures, and internal controls.
• Conduct compliance risk assessments and recommend mitigation measures.
• Support the implementation and maintenance of compliance monitoring programs.
• Review onboarding, KYC, CDD, EDD, and ongoing monitoring processes.
• Assist with AML, sanctions, and financial crime initiatives.
• Support regulatory reporting obligations and submissions where applicable.
• Conduct thematic reviews, compliance testing, and control assessments.
• Deliver compliance training and awareness programs across the organisation.
• Prepare management reports highlighting risks, findings, and recommendations.
• Support regulatory audits, inspections, and information requests.
• Investigate compliance incidents and assist with remediation plans.
• Collaborate with Legal, Risk, Operations, and Commercial teams to ensure regulatory compliance.

Connaissances

Stakeholder management

Communication

Report writing

Analytical thinking

Problem solving

Regulatory knowledge

Attention to detail

Formation

Bachelor's degree in Law/Finance/Business

Outils

ICA certification

ACAMS certification

CISI certification

Description du poste

We are seeking an experienced Compliance Consultant to support the ongoing development, implementation, and oversight of our compliance framework within a regulated financial services environment. The successful candidate will provide compliance advisory support, monitor regulatory developments, assess compliance risks, and ensure alignment with applicable UK regulatory requirements and industry best practices.

The Compliance Consultant will work closely with senior management and key stakeholders to promote a strong compliance culture and support the organization's regulatory obligations.

Key Responsibilities

• Provide day-to-day compliance advisory support to business stakeholders.
• Monitor and interpret regulatory developments and assess their impact on the business.
• Review and enhance compliance policies, procedures, and internal controls.
• Conduct compliance risk assessments and recommend appropriate mitigation measures.
• Support the implementation and maintenance of compliance monitoring programs.
• Review customer onboarding, KYC, CDD, EDD, and ongoing monitoring processes.
• Assist with AML, sanctions, and financial crime compliance initiatives.
• Support regulatory reporting obligations and regulatory submissions where applicable.
• Conduct thematic reviews, compliance testing, and control assessments.
• Deliver compliance training and awareness programs across the organization.
• Prepare management reports highlighting compliance risks, findings, and recommendations.
• Support regulatory audits, inspections, and information requests.
• Investigate compliance incidents and assist with remediation plans.
• Collaborate with Legal, Risk, Operations, and Commercial teams to ensure regulatory compliance.

Qualifications & Experience

• Bachelor's degree in Law, Finance, Business Administration, Compliance, Risk Management, or a related field.
• Professional certifications such as ICA, ACAMS, CISI, or equivalent are highly desirable.
• Minimum 5 years of compliance experience within financial services, fintech, payments, banking, investment firms, brokerage, or capital markets.
• Strong understanding of UK regulatory requirements and financial services compliance frameworks.
• Previous experience within an FCA-regulated firm.
• Exposure to investment services, CFDs, FX, fintech, payments, or wealth management sectors.
• Experience with AML/CTF regulations, sanctions compliance, and financial crime controls.
• Knowledge of FCA regulatory expectations, governance requirements, and conduct standards.
• Experience conducting compliance monitoring, audits, risk assessments, and policy reviews.
• Excellent stakeholder management, communication, and report-writing skills.
• Strong analytical and problem-solving capabilities.