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Central Compliance

  • London
  • £75,000 - £85,000

My client is a global investment bank with an office in central London.

As a Central Compliance Assistant Vice President, you will play a pivotal role in ensuring that the bank adheres to all external and internal regulatory compliance requirements. You will be responsible for managing a wide range of compliance-related activities, including external regulatory reporting, Group Compliance regulatory reporting, employee-related compliance matters, including the Senior Managers and Certification Regime (SM&CR), and training coordination. This position requires a keen eye for detail, strong analytical skills, and a deep understanding of financial regulations and industry best practices.

Key Responsibilities:

  1. External Compliance Related Regulatory Reporting:
    • Collect, analyse, and prepare reports for various external regulatory bodies in compliance with local and international regulations.
    • Stay updated on changes in regulatory requirements and ensure timely submissions.
  2. Group Compliance Regulatory Reporting:
    • Collaborate with internal teams to compile data and reports for Group Compliance and ensure alignment with the broader group’s regulatory standards.
  3. Employee Related Compliance Matters, including SM&CR:
    • Oversee the implementation and maintenance of the Senior Managers and Certification Regime (SM&CR) compliance program.
    • Monitor and enforce employee compliance with applicable regulations, conduct due diligence checks, and manage record-keeping related to staff compliance.
  4. Training Coordination:
    • Develop and implement training programs to educate employees on compliance matters.
    • Track and maintain records of employee training, certifications, and qualifications to ensure regulatory compliance.
  5. Compliance Audits and Investigations:
    • Assist in internal and external compliance audits and investigations as required.
    • Identify potential compliance issues and recommend corrective actions.
  6. Compliance Policy and Procedure Development:
    • Collaborate with the compliance team in creating and updating compliance policies and procedures to reflect current regulatory requirements.
  7. Regulatory Change Management:
    • Stay current with regulatory changes and assess their impact on the bank’s compliance policies and procedures.
    • Propose and implement necessary updates to ensure ongoing compliance.


  • Bachelor’s degree in Finance, Business, or related field. Advanced degrees and relevant certifications are a plus.
  • Minimum of 2 years of experience in the compliance field within the financial industry, with specific experience in regulatory reporting and employee compliance matters.
  • Thorough knowledge of relevant financial regulations, including but not limited to.
  • Strong analytical, problem-solving, and project management skills.
  • Excellent communication and interpersonal skills to collaborate with various teams.
  • Ability to work in a fast-paced, dynamic environment and adapt to changing regulatory requirements.

Hyrbrid working, £75,000 – £85,000 salary plus bonus and benefits are on offer with this role.

Please contact me with your CV ne@barclaysimpson,com for a full JD and salary and benefits information.

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.