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International Fintech financial institution, providing a platform, in addition to a host of financial services and solutions.
Conduct the daily CASS reconciliations as per the Firm's framework;
Assist with the Firm's Dispute resolution handling process as required;
Assist in the development and maintenance of the Firm's Compliance Programme, its Financial Crime Framework and related procedures;
Conduct Compliance Monitoring reviews in line with the annual compliance plan to confirm that the business is complying with relevant regulatory and statutory requirements and to test the adequacy of internal control framework in key business areas;
Liaise with key contacts to track, manage and report identified issues and identify and escalate compliance risks on a timely basis;
Proactively collaborate with the business to provide it with advice and guidance on how to meet its legal and regulatory obligations;
Assist the Head of Compliance in maintaining and adhering to the annual compliance training plan;
Maintain the various Compliance logs and ensure that all record keeping and reporting processes for Compliance are followed;
Assist the Head of Compliance in meeting all internal reporting requirements;
Assist the Head of Compliance in ensuring that all compliance regulatory reporting is completed to a high standard and to deadline and that all licensing is kept current;
Participate in ad-hoc compliance projects, as required;
Ensure that compliance systems and controls are maintained and that systems configurations are fit for purpose;
Keep up to date with changes to regulatory requirements or implementation of new legislation and codes of practice, and determine whether any further monitoring activity is required by the business.
Demonstrated previous experience in a generalist compliance role. (Complaint handling & CASS reconciliations work ideally)
A sound understanding of global legislative requirements and regulatory activities
Highly organised with experience of working effectively under pressure
Ability to apply a pragmatic and flexible approach to achieve consensus