Central Compliance Associate - Robert Walters : Job Details

An exceptional opportunity has arisen for a Compliance Officer Professional Ethics to join a highly respected financial institution in London, where your expertise will directly contribute to upholding the highest standards of ethical conduct and regulatory compliance.

What you'll do:

As a Compliance Officer Professional Ethics based in London, you will play an integral part in safeguarding the organisation's reputation by providing expert advice on professional ethics matters. Your day-to-day responsibilities will see you engaging with colleagues at all levels-guiding them through personal account dealing protocols, outside business interests disclosures, gifts and invitations approvals, as well as managing personal relationships that may present conflicts of interest. You will be instrumental in delivering training sessions that foster awareness around compliance obligations while also contributing to continuous improvement projects aimed at enhancing systems and processes. Your analytical approach will help identify areas for policy refinement or procedural enhancement. By supporting breach investigations and preparing detailed reports for senior committees, you will ensure that any issues are addressed promptly and transparently. Success in this role requires not only technical knowledge but also excellent interpersonal skills; your ability to communicate clearly with diverse stakeholders will be key in promoting a culture of integrity throughout the business.

• Advise staff on routine personal account dealing requirements and queries, escalating complex issues as appropriate to ensure clarity and compliance across the organisation.
• Execute onboarding processes for new joiners including account disclosure, classification updates, and specific restrictions for movers, ensuring seamless integration into compliance frameworks.
• Review personal account dealing requests to assess potential or actual conflicts of interest or other issues, following up as needed and recording clear decisions for audit purposes.
• Assist with identifying improvements to policies, internal procedures, and systems related to personal account dealing, outside business interests, and gifts and invitations.
• Provide management information and reports on compliance activities, supporting transparency and informed decision-making at all levels of the business.
• Deliver training sessions to staff on professional ethics topics while performing regular monitoring and control activities to reinforce best practices.
• Advise on outside business interests requirements for staff, reviewing declarations for potential conflicts and ensuring accurate record-keeping throughout the process.
• Collaborate with key stakeholders such as Events teams and Anti-Bribery & Corruption teams to manage risks associated with gifts, entertainment, and conflicts of interest.
• Contribute to system enhancements by participating in change initiatives relating to automation and reporting tools such as PowerBI, streamlining processes wherever possible.
• Support breach management processes by investigating potential policy breaches, reporting findings appropriately, and assisting with remedial actions as required.

What you bring:

To excel as a Compliance Officer Professional Ethics in this prestigious setting, you will bring proven experience from previous roles where you have provided guidance on professional ethics within regulated industries-ideally financial services. Your background should include hands-on involvement with personal account dealing reviews, conflict of interest assessments, gifts policy administration, or similar compliance functions. You are adept at interpreting regulatory frameworks into actionable recommendations that resonate with both technical specialists and non-experts alike. Your attention to detail ensures accuracy when handling sensitive disclosures or conducting breach investigations. Beyond technical proficiency, your interpersonal strengths allow you to collaborate seamlessly across departments-building rapport with everyone from new joiners to executive leadership. A passion for continuous learning means you stay abreast of evolving regulations while actively seeking out opportunities for process improvement. Above all else, your commitment to ethical conduct underpins everything you do-making you a dependable resource who inspires trust among colleagues.

• Professional qualification combined with prior experience in a compliance role focused on professional ethics advice and management within financial services or similar regulated environments.
• Comprehensive understanding of compliance principles related to personal account dealing, conflicts of interest management, gifts and entertainment policies.
• Demonstrated analytical skills enabling you to translate complex regulatory requirements into practical advice tailored for different audiences within the organisation.
• Thorough working knowledge of the UK regulatory framework governing professional ethics within financial institutions or comparable sectors.
• Excellent written and verbal communication abilities allowing you to engage effectively with colleagues across multiple departments including senior management.
• Proficiency in using Microsoft Office applications alongside familiarity with digital tools such as PowerBI for reporting or process automation purposes.
• A collaborative mindset coupled with strong interpersonal skills that enable you to build trusted relationships across teams while promoting shared responsibility for compliance outcomes.
• Commitment to upholding organisational values such as integrity, work ethic, alignment with strategy, and adherence to codes of conduct.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates