100 Compliance Officer jobs in London

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.

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).

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).

Company Overview

We are a well-established payment institution based in the UK, dedicated to providing our clients with efficient, convenient, and secure payment solutions. We are currently seeking an experienced Compliance Officer to join our compliance team, primarily focusing on KYC reviews, periodic reviews, and AML monitoring.

As a Compliance Officer, you will be responsible for reviewing new onboarding applications and managing Periodic KYC cycle, as well as monitoring AML (Anti-Money Laundering) activities, ensuring that our clients and business operations comply with relevant regulations and policies. You will collaborate closely with clients and other departments to maintain high standards of regulatory compliance within the company.

Key Responsibilities

• Review KYC files for new and existing clients, including identity verification, risk assessment, and document collection
• Perform periodic reviews of existing clients to ensure accurate and up-to-date information
• Monitor and identify suspicious activities, report to senior compliance personnel, and assist in investigations and resolutions
• Participate product compliance design and development process, in line with regulatory requirements
• Perform Transaction Laundering Investigations as received by card schemes & vendors
• Perform regular sanctions screening to all existing clients
• Assist in Monthly Management Information (MI) for reporting financial crime activities to the board of directors
• Keep up-to-date with industry compliance regulations and ensure that the company's operations are in line with relevant requirements
• Collaborate with other departments to promote a compliance culture and raise employee awareness of compliance matters

Requirements

• Bachelor's degree or above in Law, Finance, Economics, or a related field
• 2-3 years of demonstrable experience in the financial industry or compliance, with a focus on KYC reviews and AML monitoring
• Industry recognised qualifications (e.g. CAMS/ ICA) preferred
• Familiarity with UK and international AML and counter-terrorism financing regulations, as well as payment industry regulations and policies
• Excellent communication and coordination skills, able to work efficiently in a cross-departmental environment
• Strong analytical and problem-solving abilities, with independent thinking and judgment
• Detail-oriented, responsible, and able to execute tasks with a strong sense of teamwork
• Proficient in English, capable of reading and understanding related regulations, policies, and industry updates, Chinese speaking is highly preferred

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.

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).