Compliance Officer - Buy Side

• Compliance Officer role within a boutique buy side firm.
• Compliance Officer opportunity for someone seeking a 'generalist' opportunity.

About Our Client

Our client is a well-established organisation within the financial services industry, recognised for its commitment to excellence and professionalism. As a small-sized company, they focus on providing tailored financial solutions and maintaining high standards of compliance.

Job Description

1. Regulatory Monitoring & Interpretation

Track changes to applicable UK and international regulations (e.g., FCA, PRA, GDPR, AML) and translate them into practical guidance for business stakeholders.

2. Policy Development & Governance

Draft, update, and maintain internal compliance policies, procedures, and frameworks to ensure alignment with regulatory expectations and best‑practice standards.

3. Compliance Advisory Support

Provide day‑to‑day compliance advice to front‑office and operational teams on products, processes, marketing materials, conflicts of interest, and conduct‑risk issues.

4. Monitoring, Testing & Surveillance

Execute risk‑based monitoring plans, review trade/communications surveillance, identify control gaps, and recommend remediation actions.

5. Incident Management & Reporting

Support investigations into breaches, complaints, or suspicious activity; prepare internal reports and assist with regulatory notifications where required.

6. Training & Culture Development

Design and deliver compliance training sessions, promote a strong risk and conduct culture, and ensure staff understand key compliance obligations.

The Successful Applicant

Previous experience in a buy-side compliance function.

Generalist compliance background.

Openness to a hybrid and fluid Compliance role where you have a particularly broad scope.

What's on Offer

• Competitive salary of circa £90,000+ or equivalent day rate for immediately available candidates / consultant type candidates.
• Opportunities for professional growth and development in compliance.
• Convenient London location.