Compliance Officer

6 days ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is an international investment bank based in the City. They are looking for a Compliance Officer with a specialization in Financial Crime to join the Business.







THE RESPONSIBILITIES:


  • Experience in US Swap Dealer business
  • CFTC rules and US Swap Dealer requirements & monitoring
  • Implement and conduct market surveillance and communications surveillance;
  • Implement and calibrate Nasdaq Smarts, Insightful, Compliance Link;
  • Review and clear alerts generated by various systems;
  • Review evidence and present surveillance / investigation findings;
  • Advise the business on client onboarding/review referrals such as PEPs and high-risk clients subject to EDD.
  • Investigation of referrals regarding Financial Crime by the business or operational areas.
  • Advise the business and support areas on Financial Crime aspects, on the implementation of new products, to ensure compliance with relevant regulations;
  • Ensure key Financial Crime regulatory changes are analysed and the necessary changes are implemented;
  • Maintenance of the Banks Financial Crime related policies and procedures;
  • Complete the regulatory reports related to Financial Crime;
  • Monitoring transactions and identification of suspicious activities;
  • Provide Financial Crime training;
  • Assist with internal audit review focused on Financial Crime ensuring all necessary documentation and reports are provided in a timely manner.
  • Monitor and analyse SWIFT transaction to identify any suspicious activities, ensuring compliance with financial crime regulations and internal policies
  • Implement and maintain updates to SWIFT monitoring tool, including the integration of new sanctions lists, watchlists, and custom rules to ensure accurate detection of financial crime.
  • Prepare and update financial crime and surveillance related slides and presentations for Operational Risk and Compliance Committee (ORCC), ensuring they reflect current risks, trends, and compliance measures.
  • Compile and submit detailed monthly financial crime reports to Holding, providing insights into key metrics, incidents, and compliance with regulatory requirements.









EXPERIENCE REQUIRED:


  • Financial crime/generalist compliance experience- NOT KYC
  • Proven banking compliance experience
  • Experience of acting as a second line of defence, in order to ensure strict compliance with regulations, risk management oversight and sustainable growth.










For further information please contact Spencer Evans

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