Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.
THE RESPONSIBILITIES:
Experience in US Swap Dealer business
CFTC rules and US Swap Dealer requirements & monitoring
Implement and conduct market surveillance and communications surveillance;
Implement and calibrate Nasdaq Smarts, Insightful, Compliance Link;
Review and clear alerts generated by various systems;
Review evidence and present surveillance / investigation findings;
Advise the business on client onboarding/review referrals such as PEPs and high-risk clients subject to EDD.
Investigation of referrals regarding Financial Crime by the business or operational areas.
Advise the business and support areas on Financial Crime aspects, on the implementation of new products, to ensure compliance with relevant regulations;
Ensure key Financial Crime regulatory changes are analysed and the necessary changes are implemented;
Maintenance of the Banks Financial Crime related policies and procedures;
Complete the regulatory reports related to Financial Crime;
Monitoring transactions and identification of suspicious activities;
Provide Financial Crime training;
Assist with internal audit review focused on Financial Crime ensuring all necessary documentation and reports are provided in a timely manner.
Monitor and analyse SWIFT transaction to identify any suspicious activities, ensuring compliance with financial crime regulations and internal policies
Implement and maintain updates to SWIFT monitoring tool, including the integration of new sanctions lists, watchlists, and custom rules to ensure accurate detection of financial crime.
Prepare and update financial crime and surveillance related slides and presentations for Operational Risk and Compliance Committee (ORCC), ensuring they reflect current risks, trends, and compliance measures.
Compile and submit detailed monthly financial crime reports to Holding, providing insights into key metrics, incidents, and compliance with regulatory requirements.
EXPERIENCE REQUIRED:
Financial crime/generalist compliance experience- NOT KYC
Proven banking compliance experience
Experience of acting as a second line of defence, in order to ensure strict compliance with regulations, risk management oversight and sustainable growth.
For further information please contact Spencer Evans
