Compliance Officer - London, United Kingdom - eFinancialCareers
Description
The responsibilities associated with this role are expected to include but not limited to:- Provide compliance advisory services to management, business and functional units in relation to UK and EU regulatory regimes
- Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and uptodate
- Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
- Monitor business activities and put in place specific measures as necessary
- Monitor UK and EU regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
- Ensure that the AML systems and controls meet regulatory requirements and are complied with
- Ensure that the firm complies with the capital requirements under CRD/CRR and IFPR
- Handle conflicts of interest analysis and management
- Work on compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle KYC and client due diligence etc. that may be required
- Prepare internal reports and management information, assist on filing regulatory reports
- Assist on developing and delivering staff training
- Minimum 5 years of relevant UK/EU compliance experience in an investment bank or securities firm
- Experience in relation to securities brokerage and corporate finance preferred
- Experience and good understanding of CRD/CRR and IFPR implementation preferred
- Familiar with relevant EU and UK regulatory rules applicable to FCA regulated activities
- A selfstarter with keen initiative and excellent interpersonal skills
- A professional with high integrity
- Able to work with a minimum level of supervision
- Strong analytical and evaluative skills, attentive to details
- Good communication skill and a good team player
- Chinese language abilities are desirable
- Good understanding of EU/UK regulatory issues and developments
- General broad understanding of financial products, brokerage and investment banking services
- University degree in law, economics and accounting/finance disciplines
- Qualified lawyer or law degree holder desirable but not essential
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