Compliance Officer Corporate Finance Up-to - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Key Accountabilities/Responsibilities

Reporting to Head of Compliance
Conducting financial crime and regulatory compliance monitoring in accordance with the firm's Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP);
Conducting surveillance activities to detect market abuse;
Acting as Gatekeeper for internal and external wall crossings and maintaining the firm's insider list;
Transaction File Reviews;
Review and Update policy and Procedures;
Providing expertise and support to KYC and onboarding processes;
Responding to ad hoc queries from the business on compliance related matters;
Advising on regulatory changes and development;
Maintaining knowledge of regulatory developments and current affairs concerning Sanctions, Anti-Money Laundering and Terrorist Financing, Legal and regulatory obligations under the Money Laundering Regulations, Proceeds of Crime Act, Serious Organised Crime,Market Abuse, Bribery and Corruption;
Responding to regulatory enquiries;
Preparing and delivering training when required;
Assisting the Head of Compliance with delegated compliance tasks;
Conduct annual risk assessments;
Perform Central compliance tasks e.g. approve PA dealing, maintain Breaches Register;
Must be a strong team player; and
Flexibility to work unusual hours on occasion as and when required.

Essential criteria

Educated to degree level or equivalent;
Experience in conducting investigations and drafting STORs and SARs;
Proficient IT skills, eg: Microsoft Office, etc;
Excellent communication skills, including written, oral and presentation skills;
A selfstarter and able to work independently and in a team environment;
Ability to work efficiently and accurately to deadlines;
A good understanding of Trading and applicable rules;
Knowledge and experience of the FCA regulatory framework for investment firms;
Compliance Monitoring expertise;
Eligible to work in the UK; and