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Compliance Officer
Found in: Jooble UK O C2 - 2 days ago
Hudson Belgium United KingdomSecteur industriel - Environnement régulé - FR/UK · Vous rapportez auDirecteur Département Juridique et Secrétaire Général du Groupe. Vous renforcez ainsi l'équipe juridique et conformité constituée d'une dizaine de collaborateurs. Vous êtes basé à Herstal. · Fonction · Vous i ...
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Compliance Officer
Found in: Appcast UK C C2 - 2 days ago
Arthur Recruitment Greater London, United KingdomCompliance Officer - Insurance · £70,000 - £80,000 · London - Hybrid · Purpose of the Role: · A London Market Insurer are seeking a Compliance Officer to manage the regulatory risk associated with the business through the management of its relationship with the regulator(s) and p ...
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Compliance Officer
Found in: Appcast UK C C2 - 5 days ago
FinTop Consulting London, 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 on em ...
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Compliance Officer
Found in: Appcast UK C C2 - 3 days ago
Coopman Search and Selection Greater London, United KingdomCoopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. The firm have offices acros ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
X4 Technology London, United KingdomJob Description · X4 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 ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 3 days ago
SSQ London, United KingdomJob Description · Compliance Analyst · London · Hybrid working · 2+ years experience · An exciting opportunity has arisen to join our compliance team working directly with our Chief Compliance Officer ("CCO") & Money Laundering Reporting Officer ("MLRO") in a dynamic and fast ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
Barleycorn London, United KingdomJob Description · My client is a prominent multi-national FinTech in the Payments sector; as a result of ongoing growth they require an experienced, ambitious and talented COMPLIANCE OFFICER to join them on a 12-month fixed term contract to cover for maternity leave. · The succes ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
Arthur Recruitment Greater London, United KingdomJob Description · My client is a leading M&A insurance broker who are looking to bring in a Compliance Officer. · Key responsibilities: · Regularly review developments in regulatory requirements applicable to the firm and maintain an understanding of potential future legislative ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 3 days ago
Coopman Search and Selection Greater London, United KingdomJob Description · Coopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. The firm ...
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Compliance Officer
Found in: One Red Cent EUR eFC C2 - 3 days ago
Beta Capital Management (UK) Limited London, United Kingdom Full timeAbout Us: · BETA CAPITAL MANAGEMENT is a dynamic and forward-thinking financial firm dedicated to providing exceptional investment and wealth management services. We are committed to maintaining the highest standards of compliance and ethics in all our operations. To strengthen o ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
FinTop Consulting London, United KingdomJob Description · About 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, f ...
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Compliance Officer
Found in: Appcast UK C C2 - 2 days ago
Arthur Recruitment Greater London, United KingdomMy client is a leading M&A insurance broker who are looking to bring in a Compliance Officer. · Key responsibilities: · Regularly review developments in regulatory requirements applicable to the firm and maintain an understanding of potential future legislative changes. · Review ...
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Compliance Officer
Found in: One Red Cent EUR eFC C2 - 4 days ago
eFinancialCareers London, United Kingdom Full timeJob Advert: Compliance Officer · Job Title: Compliance Officer · Job Type: Permanent · Hours: Full Time, 08:00 – 18:00, Monday to Friday · Office Location: West End · Salary: Market rate · Benefits: Bonus, pension, healthcare and other benefits · We have an exciting opportunity f ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
Bruin London, United KingdomJob Description · A 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 success ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
Arthur Recruitment Greater London, United KingdomJob Description · Compliance Officer - Insurance · £70,000 - £80,000 · London - Hybrid · Purpose of the Role: · A London Market Insurer are seeking a Compliance Officer to manage the regulatory risk associated with the business through the management of its relationship with the ...
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Compliance Officer
Found in: Appcast UK C C2 - 6 days ago
Bruin London, 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 ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 3 days ago
Black Swan Group London, United KingdomJob Description · Compliance Officer (Generalist) – Hedge Fund - London · Company Overview: · Our client is a leading hedge fund based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comp ...
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Compliance Officer
Found in: Ziprecruiter UK C2 - 1 day ago
Lockton London, United KingdomJob Description · 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 mee ...
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Compliance Officer
Found in: One Red Cent EUR eFC C2 - 2 days ago
One Ten Associates London, United Kingdom Full timeWe are working with a reputable hedge fund, headquartered in London. There is a requirement for an experienced Compliance Officer to join the existing Compliance team, reporting directly into the Chief Compliance Officer. · This role will be generalised, duties include: · Provide ...
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Compliance Officer
Found in: Appcast UK C C2 - 4 days ago
Clayton Davies United KingdomOur client, a successful Investment Management firm, are looking for an experienced Compliance Officer to join the team to lead, oversee and manage the day to day compliance and operational aspects of their investment management business unit and platform offering, ensuring issue ...
Financial Crime Compliance Officer - London, United Kingdom - Marex Spectron
Description
Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.
The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a leading franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.
Marex was established in 2005 but through its subsidiaries can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia and America.
For more information visit
The Financial Crime Compliance (FCC) function forms part of the second line of defence in the Firm's three lines of defence model.
A critical part of FCC's responsibilities is establishing and maintaining a robust financial crime prevention framework that suitably address the Firm's legal and regulatory obligations and wider expectations/best practices. FCC must also ensure that the financial crime prevention framework remains effective, and therefore also provides oversight and independent challenge of first line of defence financial crime risk management activities and associated financial crime systems/controls. A core activity to achieve this is FCC's assurance monitoring programme, through which first line of defence compliance with internal policies, standards and related procedures is assessed.
The Financial Crime Compliance Officer will be primarily responsible for supporting the delivery of the assurance monitoring programme. This will require the identification of deficiencies in the first line of defence's implementation of the financial crime prevention framework through performance of an annually agreed plan of assurance assignments (thematic and targeted). The issues identified, and the corresponding recommendations/agreed action plans to address deficiencies, are reported to relevant senior and executive management through formal reports. The agreed actions are monitored for completion within defined timeframes to ensure the appropriate and complete remediation of gaps is achieved; regular reporting on the progress to complete actions is similarly reported to senior and executive management.
Responsibilities:
Role specific:
•Scope and carry out reviews of financial crime and sanctions control environment through supporting delivery of the annual financial crime compliance assurance plan ("FCCAP")
•Draft scoping and objectives memorandums for all allocated assignments which suitably identify the core objectives and control areas subject to the assurance review
•Perform mapping of key risks and legal or regulatory obligations against the processes and procedures under review
•Assess the design adequacy of the controls under review through mapping of keys risks and legal/regulatory obligations against the existing control environment.
•Test the operating effectiveness of the controls under review through designing appropriate testing programmes
•Identify opportunities to improve controls and related processes through applying a meticulous approach to the review and testing approach
•Provide robust yet professional challenge to the first line functions through applying a sceptical mindset when assessing the design and operating effectiveness of controls
•Present findings (interim and finalised) both verbally and in written form to relevant stakeholders both within the FCC team and the wider first line functions
•Prepare accurate and professionally articulated reports that describe and explain any issues identified, and the recommendations for improving associated control activities
•Agree appropriate actions with first line management teams, in line with FCC's recommendations, to adequately address the issues identified and ensure the control environment facilitates management of financial crime and sanctions risks within risk appetite
•Ensure progress of the completion of assurance actions is effectively monitored, reported and escalated (where falling overdue, or insufficiently addressed)
•Ensure all work is robustly documented so that a full audit trail of the assurance review process is available, and that all working papers and other relevant documentation is saved centrally within the Team's network folders for accessibility and recordkeeping purposes.
•Maintain positive and effective working relationships with the FCC team, the first line of defence functions, and other relevant stakeholders
•Support the delivery and ongoing development of management information and reporting relevant to FCC's assurance programme
•Support the MLRO (and other Senior members of the FCC team) in developing the assurance programme, and contribute to the development of the assurance methodology and framework
•Support the FCC team with other responsibilities as considered necessary from time-to-time, which may include, amongst other things: (i) financial crime advisory activities; (ii) delivery of training to the first line functions; and (iii) development of management information and contribution to internal reports
General:
•Ensure compliance with the company's regulatory requirements.
•Adhere to the operational risk framework for the role ensuring that all regulatory or company determined parameters are complied with.
•Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
•At all times complying with the FCA's Code of Conduct / Marex's Code of Conduct.
•Ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
•Report any breaches of policy to Compliance and/ or your supervisor as required.
•Escalate risk events immediately.
•Provide input to risk management processes, as required.
Competencies:
•A collaborative team player, approachable, self-efficient and influences a positive work environment
•Demonstrates curiosity
•Resilient in a challenging, fast-paced environment
•Ability to take a high level of responsibility in a fast pace and high-volume environment
•Excels at building relationships, networking and influencing others
•Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
Skills and Experience:
•Good understanding of financial crime and financial services and products.
•Good PC operating skills,
•Excellent understanding of screening systems including extracting and analysing data
•MS Excel skills essential.
•Organizational and time-management skills.
•Decision-making skills.
•Understanding of performance metrics.
•Excellent verbal and written communication skills.
•Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
If you're forging a career in this area and are looking for your next step, get in touch
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
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