Compliance Officer

2 weeks ago

London, United Kingdom CBC Resourcing Solutions Full time

Fantastic salary plus bonus and benefits

Our client is a highly respected vendor and equipment finance company who operate across a broad range of assets and due to growth are looking to recruit a Compliance Officer to support the AML team.

Responsibilities will include;

  • Day to day customer due diligence (CDD) and know your customer (KYC);
  • Liaise with Deputy MLRO re: escalated transactions, answering queries as required;
  • Escalating transactions where required, including research undertaken, system notes, completion of escalation forms and use of group tools for reporting;
  • Liaise with Sales teams to obtain KYC/CDD information, as required;
  • Assist Risk team with CDD particularly the identification of Beneficial Owners; Negative news; PEPs (Politically Exposed Persons); ESR (Environmental Social Risks):
  • Carry out CDD Reviews in accordance with the AML Risk rating and AML policy;
  • Checking CDD
  • Ensuring that all CDD escalations are correctly documented; producing KPIs on a quarterly basis using this data;
  • Ensuring that the PEP register is maintained;
  • Perform Periodic Reviews on live clients;
  • Deputize for the Deputy MLRO as and when required (for example to attend calls and meetings when the Deputy MLRO is attending training, writing policies, on holiday etc )
  • Assist with training new / junior members of the team (once fully competent and trained) and also assisting with the training of other members of staff who require guidance or support where we are utilizing extra resource from within the business

In the first instance please send your CV in confidence

We currently have 7,982 live graduate jobs and we're adding more all the time. 

#J-18808-Ljbffr

  • Compliance Officer

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients. **THE RESPONSIBILITIES**: - Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP); - Conducting surveillance...

  • Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata...

  • Compliance Officer

    Found in: Talent UK 2A C2 - 2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Chief Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...

  • Compliance Officer

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and asset and wealth managements services. **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and keeping updated, the departments...

  • Compliance Officer

    Found in: Appcast UK C C2 - 1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Appcast UK C2 - 1 week ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Compliance Officer

    Found in: Whatjobs ES C2 - 6 days ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business. THE RESPONSIBILITIES: Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries. Complete necessary sections of Regdata...

  • Compliance Officer

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Officer to join the business.THE RESPONSIBILITIES:Handle day-to-day financial promotion approvals, complaint resolutions, transaction reviews, and onboarding queries.Complete necessary sections of Regdata reports and...

  • Junior Compliance Officer

    Found in: Talent UK 2A C2 - 5 days ago

    London, United Kingdom AJ Fox Compliance Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team.This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization.Key responsibilities will include: ...

  • Junior Compliance Officer

    3 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Key responsibilities will...

  • Compliance Advisory Officer

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Compliance Officer Monitoring

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance Officer

    1 week ago

    Old Street, Greater London, United Kingdom AJ Fox Compliance Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance? An exceptional opportunity has arisen for a Risk and Compliance Officer within an International law firm. In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations...

  • Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management. THE RESPONSIBILITIES: Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. ...

  • Compliance Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management. THE RESPONSIBILITIES: Producing draft of policy documentation. CMP tracking, testing, monitoring and deep dives. Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. Managing and keeping...

  • Compliance Officer

    Found in: Talent UK 2A C2 - 2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management.THE RESPONSIBILITIES:Producing draft of policy documentation.CMP tracking, testing, monitoring and deep dives.Conduct Risk and Compliance assessment, monitoring and reporting raising concerns.Managing and keeping updated, the...

  • Compliance Advisory Officer

    Found in: Talent UK 2A C2 - 5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:To build a close working relationship with each of the business units to support Compliance...

  • Senior Compliance Officer

    3 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    A leading global law firm is currently seeking a dedicated and proactive Junior Compliance Officer to join their dynamic and growing team. This role offers an exciting opportunity to work on various compliance tasks, improve existing systems, and collaborate effectively with individuals at all levels within the organization. Managing the new client and...

  • Compliance Officer

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a global banking group offering commercial and retail banking, investment banking, and wealth management.THE RESPONSIBILITIES:Producing draft of policy documentation.CMP tracking, testing, monitoring and deep dives.Conduct Risk and Compliance assessment, monitoring and reporting raising concerns.Managing and keeping updated, the...