Explore compliance officer positions, which are vital for organizations aiming to adhere to laws, regulations, and internal policies. These roles demand a keen eye for detail, strong analytical skills, and a comprehensive understanding of regulatory frameworks. Compliance officers work across various sectors, including finance, healthcare, and technology, safeguarding 598 Compliance Officer jobs in the United Kingdom
Compliance Officer
London, London
Rutherford
Posted today
Job Viewed
Job Description
Overview An established global asset management firm is seeking an experienced Compliance Officer to contribute to the implementation of its compliance monitoring and oversight program. This role plays a critical part in ensuring ongoing regulatory alignment across trading and portfolio management activities. Reporting into the Head of Compliance, the successful candidate will serve as a key advisor on regulatory matters and support governance, monitoring, and internal control activities across the firm’s investment platform. Key Responsibilities Design and help execute the annual Compliance Monitoring Plan in collaboration with senior leadership. Lead the daily monitoring program focused on regulated investment management activities. Conduct surveillance related to market abuse risks and trading activity. Review and monitor best execution and transaction reporting obligations. Assess and manage potential conflicts of interest across business units. Stay current on regulatory updates and assess their impact on operations and internal policies. Provide strategic and operational compliance advice, including support for new initiatives and business developments. Support the delivery of required regulatory filings and reports in a timely and accurate manner. Drive internal awareness of regulatory responsibilities and foster a culture of compliance and ethical conduct. Oversee competence and training requirements for relevant staff in regulated roles. Evaluate and maintain systems and controls to ensure ongoing compliance with applicable standards. Provide oversight for data protection activities, including handling of access requests. Draft, maintain, and update compliance policies and procedures in line with best practices and regulatory developments. Candidate Profile 5 years of experience in investment or asset management Trading and portfolio management compliance experience Strong initiative and self-direction, with excellent prioritisation and time management skills. Exceptional written and verbal communication capabilities. Comfortable working under pressure and delivering to tight deadlines. In-depth understanding of relevant regulatory frameworks (e.g., conduct rules, AML standards).
This advertiser has chosen not to accept applicants from your region.
0
Compliance Officer
London, London
Rutherford
Posted today
Job Viewed
Job Description
Overview An established global asset management firm is seeking an experienced Compliance Officer to contribute to the implementation of its compliance monitoring and oversight program. This role plays a critical part in ensuring ongoing regulatory alignment across trading and portfolio management activities. Reporting into the Head of Compliance, the successful candidate will serve as a key advisor on regulatory matters and support governance, monitoring, and internal control activities across the firm’s investment platform. Key Responsibilities Design and help execute the annual Compliance Monitoring Plan in collaboration with senior leadership. Lead the daily monitoring program focused on regulated investment management activities. Conduct surveillance related to market abuse risks and trading activity. Review and monitor best execution and transaction reporting obligations. Assess and manage potential conflicts of interest across business units. Stay current on regulatory updates and assess their impact on operations and internal policies. Provide strategic and operational compliance advice, including support for new initiatives and business developments. Support the delivery of required regulatory filings and reports in a timely and accurate manner. Drive internal awareness of regulatory responsibilities and foster a culture of compliance and ethical conduct. Oversee competence and training requirements for relevant staff in regulated roles. Evaluate and maintain systems and controls to ensure ongoing compliance with applicable standards. Provide oversight for data protection activities, including handling of access requests. Draft, maintain, and update compliance policies and procedures in line with best practices and regulatory developments. Candidate Profile 5 years of experience in investment or asset management Trading and portfolio management compliance experience Strong initiative and self-direction, with excellent prioritisation and time management skills. Exceptional written and verbal communication capabilities. Comfortable working under pressure and delivering to tight deadlines. In-depth understanding of relevant regulatory frameworks (e.g., conduct rules, AML standards).
This advertiser has chosen not to accept applicants from your region.
1
Compliance Officer
Aberdeen, Scotland
AGR
Posted today
Job Viewed
Job Description
AGR are working closely with our Aberdeen-based client to recruit a Compliance Officer to join its team on a temporary basis until the end of 2026. About the role: This role will be responsible for designing, implementing and overseeing the company’s compliance and data privacy frameworks. This role promotes ethical conduct and provides support to the organisation on compliance and privacy matters. The Compliance Officer will serve as the primary liaison with regulations and oversee internal compliance activities, including those related to privacy and ethical conduct, as well as compliance-related investigations and training programs. The role will also involve some support for company secretarial and corporate Governance matters. Key duties and responsibilities: • Develop and maintain a risk-based and robust compliance framework aligned with key risk areas including Anti-Bribery and Corruption (ABAC), Antitrust/Competition Law, Fraud, Conflicts of Interest, and Trade Compliance • Conduct ongoing compliance risk assessments and lead remediation efforts • Monitor evolving regulations and guide updates to internal policies • As a key element of the compliance framework, establish and implement risk-based third-party risk management procedures, including due diligence, monitoring, and relevant assurance processes • Design and implement company-wide compliance training programs, including the establishment of a risk-based nominations process, more tailored training for higher-risk roles, and periodic effectiveness assessments • Prepare and present compliance performance reports as well as continuous improvement plans and objectives to leadership on a periodic basis • Establish and maintain an Ethics and Compliance communications plan, including periodic leadership and staff internal communications and external communications to business partners where appropriate • Lead responses to regulatory inquiries, audits, and examinations • Triage reports of misconduct and lead or oversee investigations, including maintaining proper records on outcomes and remediation where applicable • Develop and maintain a comprehensive policy governance framework, ensuring periodic review, proper version control, and accessibility to relevant stakeholders • Coordinate a business-as-usual compliance monitoring and assurance program • Responsibility for implementing, managing and promoting internal reporting mechanisms together with management and other key roles At AGR we are committed to finding the best fit for our team, building a unique and exciting environment. Even if you don’t meet every requirement below but you feel you have something to bring to the table please still apply or get in touch with a member of our recruitment team. Work Experience: • Proven experience in senior compliance and/or data privacy roles, preferably within industries such as oil and gas • Strong understanding of global compliance and privacy standards (e.g., UK GDPR, DPA 2018) • In depth knowledge of enforcement regimes and regulatory expectations as related to corporate compliance programs, including but not limited to the FCPA, UK Bribery Act, OFAC sanctions, and other relevant international frameworks. Experience in implementing privacy programs, conducting risk assessments, and managing incidents • Excellent leadership, communication, and stakeholder engagement skills • Legal, finance or compliance-related qualifications preferred • Privacy certifications such as CIPP/E, CIPM, or ISEB Data Protection are highly desirable • Familiarity with frameworks such as ICO’s Accountability Framework, NIST Privacy Framework, and ISO 27001 is beneficial.
This advertiser has chosen not to accept applicants from your region.
2
Compliance Officer
London, London
Career Legal
Posted today
Job Viewed
Job Description
Compliance Officer International Law Firm Permanent – London Salary Up To £60,000pa Benefits My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer. This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake. As the successful Compliance Officer, you’ll be responsible for: Analysing conflict search results to identify potential conflicts Researching new clients for CDD purposes Managing incoming requests for new client/matter openings Assisting with testing software upgrades linked to the Business Acceptance team Conducting sanctions screening much more. To be considered for this Compliance Officer opportunity, you’ll need to have/be the following: Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts Have experience using Intapp Open Be able to work under pressure and prioritise effectively Be able to commute to the London office For more information on this position and to see an in-depth job description, get in touch as soon as possible. This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
3
Compliance Officer
London, London
Career Legal
Posted today
Job Viewed
Job Description
Compliance Officer International Law Firm Permanent – London Salary Up To £60,000pa Benefits My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer. This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake. As the successful Compliance Officer, you’ll be responsible for: Analysing conflict search results to identify potential conflicts Researching new clients for CDD purposes Managing incoming requests for new client/matter openings Assisting with testing software upgrades linked to the Business Acceptance team Conducting sanctions screening much more. To be considered for this Compliance Officer opportunity, you’ll need to have/be the following: Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts Have experience using Intapp Open Be able to work under pressure and prioritise effectively Be able to commute to the London office For more information on this position and to see an in-depth job description, get in touch as soon as possible. This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
4
Compliance Officer
London, London
Edenbrook
Posted today
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers. Key Responsibilities: Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager. Liaise with insurers on renewals, compliance issues and required changes. Monitor and communicate regulatory/legislative developments. Identify and address compliance risks, providing guidance, support and training. Keep policies, procedures and manuals up to date. Develop and maintain an audit framework; conduct reviews and implement corrective actions. Act as key contact for external audits and oversee follow-up actions. Assess adequacy of internal systems, processes and record keeping. Provide compliance input on products, services and procedures. Support complaints handling and embed lessons learned. Work closely with operational teams to ensure compliance supports business activity. Knowledge, Skills & Experience: 5 years in a broad compliance role within insurance. Relevant qualification (ACII/ICA) desirable. Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR). Experience with compliance monitoring systems. Experience drafting service agreements/delegated authorities (desirable).
This advertiser has chosen not to accept applicants from your region.
5
Compliance Officer
London, London
Edenbrook
Posted today
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers. Key Responsibilities: Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager. Liaise with insurers on renewals, compliance issues and required changes. Monitor and communicate regulatory/legislative developments. Identify and address compliance risks, providing guidance, support and training. Keep policies, procedures and manuals up to date. Develop and maintain an audit framework; conduct reviews and implement corrective actions. Act as key contact for external audits and oversee follow-up actions. Assess adequacy of internal systems, processes and record keeping. Provide compliance input on products, services and procedures. Support complaints handling and embed lessons learned. Work closely with operational teams to ensure compliance supports business activity. Knowledge, Skills & Experience: 5 years in a broad compliance role within insurance. Relevant qualification (ACII/ICA) desirable. Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR). Experience with compliance monitoring systems. Experience drafting service agreements/delegated authorities (desirable).
This advertiser has chosen not to accept applicants from your region.
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6
Compliance Officer
Career Legal
Posted 1 day ago
Job Viewed
Job Description
Compliance Officer
International Law Firm
Permanent – London
Salary Up To £60,000pa + Benefits
My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer.
This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake.
As the successful Compliance Officer, you’ll be responsible for:
- Analysing conflict search results to identify potential conflicts
- Researching new clients for CDD purposes
- Managing incoming requests for new client/matter openings
- Assisting with testing software upgrades linked to the Business Acceptance team
- Conducting sanctions screening
+ much more.
To be considered for this Compliance Officer opportunity, you’ll need to have/be the following:
- Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm
- Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts
- Have experience using Intapp Open
- Be able to work under pressure and prioritise effectively
- Be able to commute to the London office
For more information on this position and to see an in-depth job description, get in touch as soon as possible.
This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
7
Compliance Officer
London, London
Career Legal
Posted 1 day ago
Job Viewed
Job Description
Compliance Officer
International Law Firm
Permanent – London
Salary Up To £60,000pa + Benefits
My client, an international law firm, is actively recruiting for an experienced Risk & Compliance professional to join them on a permanent basis in their London office – working as their new Compliance Officer.
This role will be situated in their Business Acceptance team which operates on a global scale – working closely with their Singapore and Hong Kong teams. You’ll provide support in the completion of Business Acceptance tasks, mainly focusing on conflict searches and new business intake.
As the successful Compliance Officer, you’ll be responsible for:
- Analysing conflict search results to identify potential conflicts
- Researching new clients for CDD purposes
- Managing incoming requests for new client/matter openings
- Assisting with testing software upgrades linked to the Business Acceptance team
- Conducting sanctions screening
+ much more.
To be considered for this Compliance Officer opportunity, you’ll need to have/be the following:
- Have a minimum of 2 years’ experience in a Legal Compliance related role at a law firm
- Have a detailed and strong understanding of Anti-Money Laundering (AML) and Conflicts
- Have experience using Intapp Open
- Be able to work under pressure and prioritise effectively
- Be able to commute to the London office
For more information on this position and to see an in-depth job description, get in touch as soon as possible.
This firm is looking to review CVs immediately.
This advertiser has chosen not to accept applicants from your region.
8
Compliance Officer
Edenbrook
Posted 3 days ago
Job Viewed
Job Description
Compliance Officer opportunity working with a top performing specialty insurer. You will play a key role in ensuring the business meets all regulatory, legislative and contractual obligations, including delegated authority agreements with insurers.
Key Responsibilities:
- Manage delegated underwriting agreements and co-manage delegated claims agreements with the Claims Manager.
- Liaise with insurers on renewals, compliance issues and required changes.
- Monitor and communicate regulatory/legislative developments.
- Identify and address compliance risks, providing guidance, support and training.
- Keep policies, procedures and manuals up to date.
- Develop and maintain an audit framework; conduct reviews and implement corrective actions.
- Act as key contact for external audits and oversee follow-up actions.
- Assess adequacy of internal systems, processes and record keeping.
- Provide compliance input on products, services and procedures.
- Support complaints handling and embed lessons learned.
- Work closely with operational teams to ensure compliance supports business activity.
Knowledge, Skills & Experience:
- 5+ years in a broad compliance role within insurance.
- Relevant qualification (ACII/ICA) desirable.
- Strong knowledge of FCA Handbook, FSMA and related regulations (IDD, GDPR, SMCR).
- Experience with compliance monitoring systems.
- Experience drafting service agreements/delegated authorities (desirable).
This advertiser has chosen not to accept applicants from your region.
9