Compliance Officer- 12 month FTC

THE COMPANY:

Our client is a well-regarded London based financial institution.

THE RESPONSIBILITIES:

• Further develop and enhance the enterprise-wide compliance framework and actively monitor and maintain compliance with its regulatory requirements
• Manage the firm’s day-to-day approach to compliance with AML requirements, supporting the MLRO
• Providing advice and guidance to Onboarding Compliance Assurance and other functions on onboarding/due diligence matters
• Complete the firm’s annual Financial Crime and Tax Evasion Risk Assessment and track remediation of findings.
• Ensure the consistency of the compliance programme with Group compliance policies and procedures.
• Formulate, deliver and review the compliance policies in accordance with regulatory and legal obligations.
• Manage and enhance the compliance training program
• Work closely and cooperatively with the business
• Assist in developing and enhancing the business in a legally-compliant manner
• Provide support for the business on compliance obligations as necessary.
• Work closely with the compliance team and other teams as necessary, to ensure that policies and processes are aligned

EXPERIENCE REQUIRED:

• Good Level experience of working in compliance within Financial Services in a broad regulatory environment
• Knowledge of and practical experience of existing UK compliance requirements is essential, especially around AML and other financial crime obligations.
• Familiarity with other relevant legislation, e.g. MIFID II related, UK MAR, whistleblowing also highly desirable
• Knowledge of  UK EMIR is desirable

For further information please contact Natalie Eshelby