Our client is looking for an experienced Compliance Officer to join their London team and take ownership of all compliance and regulatory functions within our European operations.
The Compliance Officer will play a vital role in ensuring that throughout our company project cycles we are always maintaining FCA and RDR best practices.
It’s imperative that you have a keen eye for detail so you can analyse and advise business wide and ensure that everything that we do remains legally and regulatory compliant.
- Responsible for the Compliance Monitoring Programme, including testing, results analysis, identifying improvements or remedial actions and presenting findings to senior management
- Assisting management in develop and implement the Risk Management Programme including organizing analysis, performing audits and recommendations for risk mitigation
- Client account monitoring processes for AML and market abuse.
- Reviewing and signing off financial promotions and other marketing material in accordance with FCA rules and internal policies
- Liaison with firm’s external compliance consultants
- Maintaining the UK Compliance Manual and ensuring the effective implementation of company compliance policies and procedures
- Working with other team members to manage the customer complaints process and providing assistance where appropriate to resolve outstanding issues
- Assisting with enquiries from the FCA, the Financial Ombudsman Service and other relevant UK and overseas authorities, in consultation with the CEO and the Chairman, external compliance consultants and legal counsel as appropriate
- Maintaining the FCA Approved Persons register entries for the company on an up to date basis
- Working with other members of the team to keep abreast of regulatory changes such as EMIR, FATCA and MiFID II, helping to identify how these changes impact the company and working to ensure that the firm remains compliant with the new legislation
- Overseeing investigations of breaches or alleged breaches of regulations and/or company compliance policies, standards or procedures
- Working closely with HR to provide, or make arrangements for, compliance training for company staff as appropriate to include Anti-Money Laundering, Market Abuse, Treat your Customers Fairly and Complaints Handling
- Administering the Personal Account Dealing policy
- Carrying out any further tasks for which the qualifications and experience of the Compliance Officer are suited
- c. 7+ experience within a combination of Financial Services Compliance and Legal functions
- CF10, CF11
- Understanding of UK regulatory landscape ideally from working within Wealth Management / Stockbroking
- Understanding of corporate Law, ideally you will have a legal background
- Experience working in a senior compliance function within a tier 1 company or consultancy
- Previous compliance monitoring, financial crime and financial promotions experience is essential
- Experience producing compliance policies and processes
- Experience of working in a big bank, wealth or asset management firm
- Demonstrable experience of working in a fast-growth, fast-paced environment
- Excellent Communication Skills
- Problem Solver
- Passion for Finance Technologies
- Entrepreneurial mindset