4 ways to start a career in Compliance

over 3 years ago by Sophie Stones

4 ways to start a career in Compliance


With Compliance and Regulation continuing to take a leading role in group strategies across the Financial Services, we have seen a wider variety of roles created to give people an initial taste of Compliance and Regulatory roles.

1. Gain exposure

To begin with, look for internal projects that work alongside Compliance and Regulatory teams to gain exposure to the regulations. This can be either from a technology, trading, Audit, BAU implementation with Front Office or Risk role. This will do two things - bring you to the attention of your internal team, and also give you a level of Regulatory interaction if you want to move to a firm outside your current organisation.

2. Industry qualifications

There are a number of different industry qualifications out there that employers recognise and look for when hiring, including ACAMS and Compliance diplomas from your relevant industry bodies such as CISI or CII.

3. Stepping stone to Compliance

Look for a role within a regulator, they are always looking for individuals who come from industry and this can be a good starting point in building a career in Compliance. It will give you a good insight into how the regulators approach different situations, and organisations are constantly looking to bring people in who can give them an insight into the regulators current thoughts.

4. Legal and Audit roles can be beneficial

Roles in these sectors often work closely with Regulatory and Compliance teams these days, so working for a firm that works alongside Financial Services firms can be beneficial.

Alternatively, if Compliance is a career choice that you want to make on leaving school or university, CASS business schools offer a number of courses that will give you good qualifications to start a career, whilst law conversation courses can also be beneficial.

Also, at large Financial Services firms and consultancies there are a growing number of graduate schemes that will give you a broad introduction into the world of compliance.

To view our current opportunities in Compliance, click here.