Compliance Officer - London, United Kingdom - Birchlake Recruitment Ltd

Birchlake Recruitment Ltd

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

A team player with a solution-orientated and positive attitude.

A strong customer focus and drive to support business objectives.
Proven analytical and written presentation skills.
Strong awareness of Conduct Risk.
A strong understanding of Risks and Controls.
Experience within the financial services sector and an understanding of AML policies and procedures (including sanctions, bribery, and corruption).
Knowledge of FCA regulations.

Primary Responsibilities:

Ensure the business achieves and maintains compliance with current and future FCA requirements.
Develop and maintain compliance policies and training material.
Monitor, analyse, and interpret new rules, regulations, and identify and address any gaps between existing processes and new regulatory requirements.
Conduct thematic file checks and report findings in to Risk & Governance meetings.
Review and audit marketing, policy, and external literature in line with FCA requirements.
Administer the Company's register of policies and procedures.
Assist the Head of Governance in submitting FCA returns.
Maintain the Enterprise Risk Management System, ensuring risks and controls are reviewed regularly by the respective owners.
Ensure a monthly review is conducted of all risk incidents and prepare MI to submit in to the Risk & Governance Meeting.
Assist the Head of Governance in the preparation and submission of MI and other ad hoc tasks to the Fraud Committee, Risk & Governance Committee, and external parties.
Conduct investigations into financial crime alerts, Politically Exposed Persons (PEPs), high risk customers, adverse media screening, transaction monitoring, and fraud alerts.
Develop, enhance, and communicate the Company's standards and frameworks for mitigating financial crime risks.
Manage conflict of interest process.

For more information about the Compliance officer role, please get in touch or submit your CV for consideration.