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Compliance Officer
Job type: Permanent

Our client, an International Financial Institution based in London, is hiring a Compliance Officer to take overall responsibility for compliance arrangements and activities. The compliance officer must be Approved in FCA SMF SMF16 Compliance Officer SMF17 Money Laundering Reporting Officer Main responsibilities Liaising with the FCA and other regulatory bodies as appropriate. Identifying, advising and escalating where necessary potential or actual regulatory breaches. Responsible for all notifications to FCA including financial reports, the complaints return, annual controllers and close links reports. Responsible for any extraordinary reports to FCA. Monitoring the firm’s business activities for compliance with current and changing UK compliance regulations and informing staff of relevant regulatory changes. Providing compliance counsel to all areas. Registration of staff in FCA Controlled Functions. Monitoring and reviewing staff training and competency requirements. Assessing the fitness and propriety of all FCA approved staff. Maintenance of Compliance Registers including: FCA Controlled Functions, Gifts and Benefits, Personal Account Dealing and Outside Interests. Reviewing and monitoring PA Dealing Conducting internal compliance reviews and producing the Annual Compliance Report for management. Monitor and update the firm’s Wind-down Plan, as and when required, as per FCA requirement. Ensuring that the Compliance Manual is up to date and has been distributed to all staff. Supervising the Compliance Monitoring Programme. Categorising, notifying and recording all new clients. Ensuring operating procedures and computer systems are in line with regulatory requirements. Monitoring the “In-House” rules/policies Reviewing advertising/marketing and research for compliance with FCA regulations. Oversee and assign E-learning courses with Thomson Reuters to staff to ensure that they are up to date with regulatory topics and maintain training record logs. Money Laundering Reporting Officer/Financial Crime Investigating and reporting of suspicious and suspected money laundering transactions. Ensuring that all staff have been appropriately trained in the prevention of Money Laundering. Producing an AML Prevention Report and submitting this to management and the FCA. Ensuring that all AML identification checks have been undertaken, and that Know Your Customer/Know Your Business checks are carried out on a regular basis. Whistleblowing Officer, responsible for reporting to the FCA and the Bank. Bribery Prevention Officer Data Protection Officer Back Office Management (A minor part of the role) Management of Settlements procedures Appointed as the Health and Safety Officer, responsible for highlighting awareness to all staff. Coordinate IT updates and oversee projects Oversee office security and maintenance Qualifications/Related experience: Proven senior compliance experience in an FCA-regulated financial institution Strong all-round compliance knowledge including AML, KYC and Regulatory Compliance Experience in/knowledge of settlements procedures a strong plus A flexible attitude and able to work in a small team
Ref: PR16449 Location: City

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