Compliance Officer - London, United Kingdom - Compliance Professionals

Compliance Professionals

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

THE COMPANY:

Our client is a leading retail and private wealth firm

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THE RESPONSIBILITIES:

Undertake wide range of checks of specified system reports and/or alerts, for example, AML, deals transacted, reports on cash position, asset allocation etc. to ensure that clients and the firm is not at risk
Act as administrator for branch supervision quarterly returns including sending out, collating and chasing late returns.
Review returns and complete summary report for Compliance
Act as administrator for the online training system for branch staff
Review alerts from Data Loss Prevention system and where necessary communicate
Review and scrutiny of complex new accounts referred by the Client Onboarding team
Act as a filter for compliance queries; escalate more controversial and complex matters as required
Provide general support and input into the Anti-Money Laundering function

EXPERIENCE REQUIRED:

Relevant financial service experience, preferably in a private client firm
Strong Microsoft office skills essential
Knowledge of Lexis Nexis and/or Liquidmetrix Surveillance systems (or experience with similar systems)
Knowledge of the Wealth Management Industry
Knowledge of Anti-Money Laundering law and regulation
Knowledge of the Regulatory Financial environment (FCA rules)
Investment and/or financial planning qualification preferred but not essential, must be willing to undertake appropriate development

For further information please contact Natalie Eshelby