- Identification - To identify the risks that Company faces and advise on them
- Prevention - To design and implement controls to protect Company from those risks
- Monitoring and Detection - To monitor and report on the effectiveness of those controls in the management of an organization's exposure to risks
- Resolution - To resolve compliance difficulties as they occur
- Advisory - To advise the business on rules and controls
- Responsible for ensuring that, when appropriate, the information or other matter leading to knowledge or suspicion, or reasonable grounds for knowledge or suspicion of money laundering is properly disclosed to the relevant authority
- With assistance and support of Head of Compliance will also liaise with law enforcement on the issue of whether to proceed with a transaction or what information may be disclosed to clients or third parties
- Oversees compliance monitoring program and all compliance issues and report to Head of Compliance
- With assistance and support of Head of Compliance deals with external organizations as local regulatory body or other auditors and external compliance consultant
- With assistance and support of Head of Compliance designs and implements systems for the operation of firm within local regulatory body or other regulatory rules
- Monitor systems to ensure that they are working as intended. This is achieved through firm's detailed monitoring program which is carried out on a quarterly basis.
- With assistance and support of Head of Compliance supervise Training and Competence propriety of the individuals within the firm
- Acts as a contact point for local regulatory body or other regulatory body and inform Head of Compliance
- Prepares and submits reports to local regulatory body
- Registers (and notifies local regulatory body if required) rule breaches and takes appropriate remedial action
- Registers details of complaints to ensure complaints are resolved efficiently and effectively
- With assistance and support of Head of Compliance identifies and manages money laundering risks
- Prepares and forwards AML reports to firm's Head of Compliance and Board on an annual basis
- Receives internal reports from firm's staff and makes external reports to regulatory body after approval of Head of Compliance
- Takes reasonable steps to establish and maintain adequate arrangements for awareness and training of AML
- FCA Approved is MUST
- Compliance Management and Regulatory Compliance skills
- Analytical skills
- Effective communication skills
- Finance knowledge and understanding
- Attention to detail and problem-solving abilities
- Experience in the financial industry or related field
- Strong ethical standards and integrity
- Bachelor's degree in Finance, Business, or a related field
-
Compliance Officer
1 week ago
X4 Technology Camden Area, United KingdomX4 Technology are partnered with a leading investment platform in Central London who are founded by a renowned entrepreneur. Their platform offers DIY and managed investment portfolio options including Exchange-Traded Funds with unmatched value, choice, insights and automation. A ...
-
Compliance Officer
22 hours ago
Pentasia London Area, United KingdomA successful start-up company in the iGaming sector is keen to hire a Compliance Officer. This role is responsible for managing day-to-day compliance operations, supporting the Compliance Committee, acting as a liaison with regulatory bodies and managing compliance related commun ...
-
Compliance Officer
22 hours ago
Jacobson Garner London Area, United KingdomA premier commodities trading firm renowned for our global reach and market expertise. Committed integrity, innovation, and excellence, driving success in the dynamic world of commodities trading. As they continue to grow, they are seeking a dedicated and experienced Compliance O ...
-
Compliance Officer
1 week ago
Marlin Selection Recruitment London Area, United KingdomA great opportunity to join a growing Energy and Oil Brokerage and Clearing House as a Senior Compliance Officer. · We are a growing energy brokerage firm dedicated to providing innovative solutions for our clients in the dynamic and ever-evolving energy market. As we continue t ...
-
Compliance Officer
1 week ago
Lockton Camden Area, United Kingdom· Purpose · Help develop Lockton's response to emerging regulatory risk and developments in the regulatory landscape. Contribute to Compliance's assurance activities that ensure the business has the procedures, skills and tools it needs to deliver services and meet its strategic ...
-
Compliance Officer
3 weeks ago
Austin Andrew Ltd London Area, United KingdomWe are working closely with a multi -billion alternative asset manager , looking after global assets in both the private and public markets · This is a unique role in that it reports into both the global head of marketing and communications in London but also as a matrix into the ...
-
Compliance Officer
1 week ago
Bruin London Area, United KingdomA great opportunity to join a established and growing firm My client is looking for a Trade Surveillance officer who has the experience and initiative to assist in the implementation of new processes/systems as well as improve the current procedures. The successful candidate will ...
-
Compliance Officer
1 week ago
FinTop Consulting London Area, United KingdomAbout the company: · The company is an innovative player in the Fintech sector, aiming to revolutionize how individuals manage their finances and invest for the future. They steer away from speculative ventures like cryptocurrency and yesterday's tech giants, focusing instead o ...
-
Compliance Officer
22 hours ago
Britannia Global Markets Limited London Area, United KingdomTHE COMPANY · Britannia Global Markets is a dynamic, fast-growing organisation that operates a full-service execution and clearing brokerage business covering Exchange Traded Derivatives, Cash Equities and Fixed Income, CFD's, Foreign Exchange, Repos and Structured Finance. · Bri ...
-
Compliance Officer
1 week ago
Bruin London Area, United KingdomAre you passionate about ensuring regulatory compliance within the financial industry? Do you thrive in a dynamic environment where you can make a tangible impact? If so, we have an exciting opportunity for you to join the Compliance Team of a fantastic Investment Management orga ...
-
Compliance Officer
3 days ago
Black Swan Group London Area, United KingdomSurveillance Compliance (AVP) · Our client is a global investment bank, who are seeking a compliance professional to take on a position in the firm's markets surveillance function. · Your responsibilities will include: · Assist in performing daily surveillance of trading t ...
-
Compliance Controls Officer
1 week ago
Societe Generale Corporate and Investment Banking - SGCIB London Area, United KingdomSociete Generale is one of Europe's leading financial services groups and a major player in the economy for over 160 years, we support 25 million clients every day with more than 126,000 staff in 65 countries · Our Group draws on our European roots to develop our business interna ...
-
Chief Compliance Officer
1 week ago
Mondrian Alpha Camden Area, United KingdomA rapidly expanding, boutique hedge fund is looking for a Chief Compliance Officer to build out their compliance function. · The firm have achieved substantial growth in a short space of time and are making significant hires across the business. · They are looking for a CCO to ru ...
-
Compliance Monitoring Officer
1 week ago
Miryco Consultants Ltd London Area, United KingdomMiryco Consultants is working with a leading Lloyd's Insurance broker to hire a Compliance Monitoring Officer to join their Central Compliance team. · Responsibilities: · Provide support in the development of relevant management information. · Review reporting and understand ...
-
Risk Compliance Officer
3 days ago
Graff Search London Area, United KingdomThe Company · Graff Search are delighted to be partnering with this leading business law firm in London in the search for an experienced Risk & Compliance Officer with sound knowledge of SRA regulations. · This organisation has been in operation for over 3 decades and speciali ...
-
Core Compliance Officer
1 week ago
Eames Consulting Camden Area, United KingdomI am working with an important name in the investment management market who have often been seen as the market leader in their space. They are looking for a senior compliance hire to join the London based team. · This person ideally would have extensive experience in core complia ...
-
Data & Compliance Officer
2 weeks ago
Bruin London Area, United KingdomAre you passionate about ensuring ethical business practices and compliance within the financial services sector? Do you thrive on analyzing data to identify trends and anomalies? If so, we have an exciting opportunity for you to join a top Banking Corporation within the Complian ...
-
Compliance Advisory Officer
2 weeks ago
Compliance Professionals London Area, United KingdomTHE COMPANY: · Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. · THE RESPONSIBILITIES: · To b ...
-
Compliance Officer, Regulatory Change
1 week ago
Black Swan Group London Area, United KingdomCompliance Officer, Regulatory Change - London · Company Overview: · Our client is an active, global investment manager who have a focus on both fixed income and equity markets. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ...
-
Senior Core Compliance Officer, Crypto
1 week ago
dnevo Partners Camden Area, United KingdomOur client, an exciting & leading Crypto Exchange are looking to add a key hire to their London Office. · Your mission · As a Senior Core Compliance Officer your role will be to support the business and day to day operations by undertaking Compliance oversight activities to ensur ...
Senior Compliance Officer - London Area, United Kingdom - Breinrock
3 weeks ago
Description
Company Description
Breinrock is a global premium brand, offering a portfolio of fintech payment solutions. Our team is committed to excellence and superior service, providing both corporate and individual clients with a full range of products and services to meet their banking needs. We prioritize custom neo-banking solutions and personal service to ensure that we understand and fulfill our clients' needs.
Role Description
This is a full-time on-site role for a Senior Compliance Officer at Breinrock based in London, UK. The Senior Compliance Officer will be responsible for managing and ensuring regulatory compliance, analyzing financial data, and communicating compliance requirements within the organization. The role requires strong analytical skills and effective communication to maintain compliance with financial regulations and standards.
Key Functions:
Qualifications
