Compliance Officer

4 weeks ago

Milton Keynes Buckinghamshire, United Kingdom Curve Group Holdings Ltd Full time

Compliance Officer (FTC) FTC - 6 months London - Milton Keynes - Wilmslow Role purpose This is a 6-month FTC to support the Head of Compliance in ensuring that the Bank adheres to its regulatory compliance responsibilities by providing appropriate compliance oversight over the Bank's operational environment. This will be provided through advisory support and compliance monitoring reviews. The Compliance Officer (FTC) will be a part of a wider Compliance Team who, working closely with other Risk teams form part of the Bank's second line of defence (2LOD). Key responsibilities Compliance Framework/Strategy:

  • Provide input and recommendations to the Head of Compliance, or Compliance Manager in relation to the compliance strategy, compliance framework and monitoring plan for the Bank, including in relation to key risks and future potential challenges.
  • Collation and validation of MI to inform compliance reporting to Bank committees and senior management in relation to regulatory risk.
Advisory/Project Support:
  • Review, investigate and provide support and guidance on referrals to the Compliance Team such as in relation to financial promotions, customer communications and dependent upon role, PEP escalations, Conflicts of Interest, Gifts and Entertainment and Suspicious Activity Reports.
  • Undertake horizon scanning of new regulatory impacts on the Bank, reporting MI as required. Liaising with affected business areas as required to ensure key changes and risks are understood and mitigated.
Assurance/Compliance Monitoring: * Undertake compliance monitoring reviews (including sample checking and/or Thematic Reviews) to obtain assurance as to the Bank's adherence to regulatory requirements in accordance with the agreed Compliance Monitoring Plan and following the Bank's Compliance Monitoring Methodology. Financial Crime:
  • Assist in ensuring the Bank remains fully compliant in discharging its AML obligations and to identify any instances of financial crime, fraud, bribery and corruption, or conflicts of interest.
  • Advise the business on proposed activities and the regulatory impact from a financial crime perspective, liaising with the DMLRO, to escalate issues identified.
Skills required
  • Advanced understanding of home purchase plan products (inc. Secured financing), and unregulated home finance business.
  • Risk awareness of issues identified for escalation, proposing resolutions.
  • Regulatory standards awareness
  • Strong business report writing and presentation skills.
About our client Founded in 2007, they are a challenger bank that operates in accordance with Shariah principles, with offices in London, Milton Keynes and Wilmslow. They're one of the fastest growing banks of their kind in the UK. They offer personal and corporate savings products and finance for UK residential and commercial property, in addition to sourcing and advising on UK real estate investments. Their way of operating is stable, transparent, and shares risk and reward in an equitable way. That's why they talk about balanced banking. Additional details They offer a highly attractive reward package; the typical benefits include:
  • 25 days holiday entitlement increasing with service
  • Pension Plan
  • Private Medical Insurance
  • Dental Cover
  • Income Protection
  • Life Assurance
  • Employee Referral Bonus

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