Senior Compliance Officer
2 weeks ago
Our investment banking client has been present in the UK for more than 150 years, they're a long-term partner to British business. Today, the Group is formed of 10 divisions and employs 9,300 staff based in 21 core locations right across the country. Their role is simply stated: help clients achieve their goals by combining local know-how and global reach. In so doing, they seek to make a positive, sustainable contribution to both the UK economy and society.
On behalf of this organisation, AMS is looking for a Senior Compliance Officer - Regulatory for a 12-month contract, based hybrid in London.
Purpose of the Role:
The Compliance Reviews Team ('CRT') main mandate is to carry out risk-based compliance reviews with a focus on UK specific Compliance risks. The Compliance Officer in the CRT is mainly responsible for carrying out assigned Compliance reviews and, where necessary, allocated independent testing and controls across CIB business lines throughout Europe.
As a Senior Compliance Officer - Regulatory, you will be responsible for:
- Leading and driving forward the allocated programme of risk-based thematic, transversal, targeted and desk focused Compliance reviews / independent Testing.
- Performing testing and reviews/ controls independently or with limited guidance.
- Leading the review process on allocated reviews with very little supervision, being pro-active and creative when formulating the approach to be taken to progress each review.
- Maintaining appropriate records and work papers detailing the review work undertaken.
- Preparing a high-quality detailed report concluding the work done during the review outlining key findings and agreed remediating actions.
- Liaising with all necessary key stakeholders to achieve mutual agreement of any recommendations raised during the review with allocated assignees.
- Anticipating potential issues and conflicts and managing these proactively.
- Escalating significant issues and challenges identified promptly to line management, with proposed solutions.
- Assisting in tracking any Compliance recommendations raised through to completion and in reviewing and evaluating evidence submitted for closure.
What we require from the candidate:
- Experience in Controls testing and Compliance review testing.
- Experience in Regulatory compliance such as MiFid II.
- Experience within Banking sector.
- Capable of working independently and drawing conclusions.
Next steps
If you are interested in applying for this position and meet the criteria outlined above, please click the link to apply and we will contact you with an update in due course.
This client will only accept workers operating via an Umbrella or PAYE engagement model.
AMS, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business.
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