Compliance

Compliance teams help ensure organisations comply with industry laws and regulations. They review and develop internal processes and polices, conduct audits, and advise other business areas on compliance and regulation related matters.

They investigate compliance issues, implement corrective actions, and regularly review policies to ensure they remain current. They effectively act as gatekeepers, monitor external developments such as new regulations, and help protect the organisation from unnecessary risk.

Compliance roles are typically found across all the financial services subsectors.

Key Responsibilities

  • Develop, implement, and monitor compliance programs to ensure conformity with legal requirements.
  • Conduct compliance audits and risk assessments.
  • Train employees on regulatory requirements and compliance procedures.

Important Skills and Competencies

  • Regulatory Insights: Thorough understanding of regulatory frameworks and compliance management.
  • Communications: Effective communication skills enabling you to better communicate compliance policies, processes and training for teams within your organisation.

Opportunities for Career Progression

Career advancement may include Senior Compliance Officer, Compliance Manager, or Chief Compliance Officer.

Related skills

Regulatory insights

Regulatory insights involve understanding and applying knowledge of laws, regulations, and guidelines relevant to a specific industry. read more

Communication

Communication skills involve interacting with other people in order to effectively convey information, ideas, and feedback both verbally and in… read more

Problem solving

Problem-solving is the ability to identify, analyse, and find effective solutions for complex issues and challenges. read more

Risk management

Risk management as a skillset involves identifying, assessing, and controlling threats. read more

Continuous learning

Continuous learning refers to the ability to continually acquire new knowledge and skills throughout one’s career or life. read more

Related employers

Relevant specialisations

Postgraduate 


Course:

MSc (PgCert, PgDip) Data and Artificial Intelligence Ethics


Study:

Online
In-Person

Postgraduate 


Course:

MSc Environmental Sustainability


Study:

In-Person

Postgraduate 


Course:

MSc Climate Change Management


Study:

Online

Postgraduate 


Course:

MSc Global Strategy and Sustainability


Study:

In-Person

Relevant course providers

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