Compliance Officer

Compliance Generalist

Boutique Investment Bank

Location: London

Contract Term: 6-9 months (Immediate start needed – 2 weeks notice or less)

Salary: £80k-£95k Pro Rata

About the Role:

A well-established financial services firm specialising in corporate finance and investment advisory is seeking a Compliance Generalist to support the enhancement of its compliance framework. The ideal candidate will have experience working within regulated financial services, particularly in corporate finance or investment firms.

Key Responsibilities:

• Review and update policies and procedures to ensure compliance with FCA regulations.
• Enhance and implement a robust compliance monitoring framework.
• Conduct regular compliance reviews and risk assessments.
• Identify regulatory gaps and implement necessary controls and improvements.
• Provide guidance and training to internal teams on compliance best practices.
• Support transaction monitoring, due diligence, and client onboarding processes.
• Oversee regulatory reporting and liaise with relevant authorities.
• Ensure adherence to AML, KYC, and financial crime prevention measures.
• Assist in internal audits, compliance investigations, and remediation efforts.
• Support senior management in regulatory interactions and enforcement responses.

Ideal Candidate:

• Experience working within a regulated financial institution, preferably with exposure to corporate finance.
• Strong knowledge of FCA rules, compliance monitoring, and regulatory frameworks.
• Proven ability to assess and improve regulatory policies effectively.
• Detail-oriented with excellent analytical and communication skills.

This is an excellent opportunity for a compliance professional to contribute to the development of a strong regulatory framework within a dynamic financial services firm.

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