Deputy Compliance Officer
1 month ago
Job Description
The Deputy Compliance Officer (DCO) is primarily responsible for supporting the compliance function within our organization, and ensuring compliance with UK laws, regulatory requirements, policies, and procedures. The role is essential to the Company’s success in the UK by maintaining standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient.
Responsibilities
- Supports the Compliance Officer as and when required on specific activities and projects.
- Reduces and mitigates the risk of financial losses or damage caused by non-compliant conduct.
- Collaborate closely with the Compliance Officer to promote a positive compliance culture within administrative operations through close engagement with staff.
- Assist with conducting regular internal compliance audits.
- Carry out periodic testing as part of the Compliance Monitoring Programme and ensure the timely resolution of findings.
- Assist in the investigation and resolution of compliance concerns, complaints, and violations.
- To work with each department and the various business units to provide support, advice and guidance on appropriate compliance framework, policies and procedures, which will facilitate the business in identifying, assessing and managing compliance risk within the business, meeting the standards set and regulatory requirements.
- Supports key growth initiatives tied to the company’s strategic plan.
- Assists with preparing reports to senior management and Board of Directors to communicate all relevant compliance issues and escalate any important or high-risk compliance issues.
- Conduct due diligence for client onboarding.
- Keeps abreast of regulatory developments and evolving best practices.
Qualifications and Experience
- Bachelor’s degree in business administration, Economics, or equivalent qualification.
- Minimum of 2 years’ experience in the AML/CTF field and familiarity with relevant data privacy laws such as General Data Protection Regulation (GDPR).
- Experience with and strong knowledge of the Financial Conduct Authority (FCA) rules and regulations as well as related UK laws and legislation.
- The International Compliance Association (ICA) Diploma would be an asset.
- Experience with data visualization tools.
- Any other equivalent combination of training, certification, and experience will be considered.
Knowledge, Skills and Abilities
- Ability to build collaborative working relations with peers, colleagues and with remote based teams with individuals at all levels of the organisation.
- Proven track record of honesty and integrity.
- Excellent interpersonal skills, ability to communicate effectively, both oral and written.
- Ability to lead teams and negotiate conflict.
- Strong attention to detail and ability to meet deadlines.
- Ability to work in a rapidly changing environment.
Deadline for Applications April 5th, 2024
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