What is compliance?

Compliance is all about making sure that an organisation’s financial conduct follows the rules and is reporting clear information to the regulator. We’re proud of our conduct and are well known for our clarity and compliance.

As a compliance officer you’ll have a varied role. Your focus could be on monitoring trading activity, preventing conflicts of interest, ensuring compliance with regulations, or preventing money laundering.

Compliance works on two levels:

  • Level 1: compliance with external rules that organisations must follow
  • Level 2: compliance with internal systems that support compliance with external rules
What’s compliance like in financial services?

You could work in any of the following areas:

  • Financial crime compliance
  • Internal audit
  • Compliance advisory
  • Regulatory compliance
  • Compliance monitoring and surveillance
What skills do you need?
  • Integrity
  • Ability to balance interpretation of regulations with business objectives
  • Quick thinking
  • Analytical skills
  • Problem-solving skills
  • Communication skills
  • Conviction in your judgements
What qualifications do you need?
  • A relevant university degree
  • Relevant practical experience
  • Professional accreditations from organisations such as International Compliance Association (ICA)