Jobs in Cheltenham
Because of the nature of the work, compliance officers traditionally come from a legal or finance background, with associated degrees. The sector is getting increasingly competitive, as being a compliance officer is seen as an attractive career, but individuals in compliance can still hail from diverse backgrounds as regulatory departments are more and more seeking complimentary technology and data skills.
Being a compliance officer can be a demanding job and it can be tough to keep on top of regulatory or legal changes in the financial services sector. The ability to stay on top of things and to manage people well are hallmarks of a good compliance officer. They need to be there for the front office staff, but also for the C-Suite, especially when operating as a Chief Compliance Officer, General Counsel or Chief Operating Officer.
Main Key Duties
While a Compliance Officer’s key duties might change from one type of firm to another, its core responsibilities will usually include, but not be limited to, the following:
Fostering an ethical culture at the firm
Avoiding fines and other penalties from the regulating body (FCA in the UK, SEC in the US)
Creating, monitoring and reporting on internal policies and processes: IT, Strategy, OH&S (Occupational, Health & Safety), KYC (Know Your Customer), PEP (Politically Exposed Person) and Sanctions
Legal research and anticipating future changes
Leveraging future changes in regulation
Reviewing marketing material and disclaimers
Training sessions to staff
Answering “can we do X?” questions from the C-Suite and front office
Conducting internal audits
Assisting with disciplinary proceedings
Reporting to the regulator
Making sure that advice considers business objectives
Prepare and file regulatory reports with the FCA
Main Required Skills
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Attention to detail
Niche candidates and subject matter experts
Nestled against the renowned UK Cotswolds, Cheltenham is the perfect location to unwind and savour the charm of a small – yet well-connected and developed – town.
The city is all about its perfect blend of traditional and modern: while its regency architecture is full of history, its restaurants and festivals encapsulate modern times at its finest.
If you are a food lover, you will be enticed by Cheltenham’s varied food offerings, which range from Michelin-starred restaurants to street food. Voted the Best Place to Live in the South West 2020 by The Sunday Times, it is the host of more than 25 festival every year and was rewarded the “purple flag award”, given to towns and cities that offer an entertaining, diverse, safe and enjoyable night out.
Getting around Cheltenham is incredibly easy: its main attractions, restaurants and cultural spots can all be visited by walking or cycling around town. A 20-minute walk or 10-minute cycle will usually get you anywhere in the city.
While most people usually drive around Cheltenham, this isn't necessary as the local bus system is well connected and efficient. You can also find licensed taxis around town
1 day ago
Ethics and Compliance Manager
Our client, and independent organisation facing the education sector and headquartered in Cheltenham, is looking for an Ethics and Compl...
26 days ago
Interim Head of Compliance
City of London
Our client, an insurance advisory firm, is recruiting for a Head of Compliance (SMF16/17). The candidate will be responsible for overall ...