Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

PART TIME COMPLIANCE OFFICER (2 DAYS P/WK)
Temporary (8 months maternity cover)


The Company:


Our client is a Fintech start-up, who is a specialist provider of carbon data, analytics, insight and financial products that enable financial institutions to achieve both financial returns and positive environmental impact.

The company are experts in environmentalproducts and capital markets technologies, and their mission is to integrate carbon markets with financial markets.

By providing financial institutions with carbon related data, analytics, insights, and financial products they facilitate investment and riskmanagement strategies that advance the world towards net zero and directly contribute towards the fight against climate change.


The role:


As the Designated Compliance Officer, you will be responsible of managing the relationship with our Principal Firm and attend to all the regulatory requirements and monitoring controls that are required to maintain our status as an a Authorised Representative.

This position requires attention to detail, strong communication, the ability to adapt and deliver strategic value in a fast-paced start-up environment.


Responsibilities:


  • Ensure our core compliance policies, documents and procedures are up to date, with adequate monitoring plans in place and implemented on a regular basis
  • Reviewing new clients' due diligence documentation, carrying out their AML risk assessment and setting up ongoing monitoring controls on existing clients
  • Provide Guidance for Marketing and Sales and review their materials to comply with FCA regulations, in particular Financial Promotions
  • Preparing reports or data sets that require you to collect, analyse and coherently summarise information
  • Maintaining rapport with regulatory personnel by arranging continuing contacts; resolving concerns
  • Being the goto person for Compliance in our organisation, establishing and enforcing your high standards
  • Manage the Compliance Registers, Logs and Compliance Onboarding for new joiners
  • Manage Quarterly Reporting documentation for our Principal Firm

Required skills and Knowledge:


  • At least 3 years' experience in Financial Regulation and Compliance, ideally with previous startup experience
  • Working knowledge of AML rules
  • Previous experience in Onboarding and Due Diligence of new clients
  • Experience in monitoring compliance of Financial Promotions
  • Experience in Compliance Controls of FCA regulated firm
  • Highly organised and efficient with a proven ability to multitask and meet tight deadlines
  • Strong communication and listening skills, experiences in customer interviews
  • Meticulous attention to detail with a thoroughness to follow up and get each task done quickly and efficiently
  • Agility and flexibility in response to changing priorities and needs
  • Someone who enjoys partnering with other administrative colleagues across the organisation and providing backup support when necessary
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