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Due to growth, we are seeking to recruit an additional compliance officer to assist the Head of Compliance in the implementation of the compliance agenda throughout the firm.
The varied nature of the role will lead to the successful candidate expanding on their experience across multiple facets of compliance and other areas of the business as new business lines are developed.
Drafting and maintaining compliance standards, policies and procedures relating to AML, PA Dealing, Conflicts of Interest
Monitoring, reviews, remediation and general preparation for regulatory examinations relating (but not limited) to AML/Financial Crime, Trade and Transaction reporting
Jurisdiction analysis and reviews
Regulatory change management and review of updates from FCXA, JMLSC, HMRC
Financial Promotions reviews and approvals
Assist with staff and agent training
Assist with CMP reviews, Audit requests, Risk Assessments Reviews and Internal Audit
Assist with Company legal requirements
Assist with FCA returns via online systems – Connect, GABRIEL, ONA
Provide compliance guidance and advice to staff oversees
Produce MI on AML. ABC, CASS, TCF
Minimum 3 years' experience in a compliance role within the financial sector
Experience producing policies and procedure
Knowledge and understanding of current FCA handbook
Good understanding of JMLSG guidance
Strong analytical skills and meticulous attention to detail
Strong MS Office skills
Legal background is highly advantageous
You must be eligible to work in the UK to apply for this position.
Due to the high response rate expected, only those who are shortlisted for an interview will be contacted.