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.