Senior Legal Regulatory Affairs Officer

4 weeks ago

London, United Kingdom Breinrock Full time

Breinrock is a global premium brand, offering a portfolio of fintech payment solutions. Our team is committed to excellence and superior service, providing both corporate and individual clients with a full range of products and services to meet their banking needs. We prioritize custom neo-banking solutions and personal service to ensure that we understand and fulfill our clients' needs.
This is a full-time on-site role for a Senior Compliance Officer at Breinrock based in London, UK. The Senior Compliance Officer will be responsible for managing and ensuring regulatory compliance, analyzing financial data, and communicating compliance requirements within the organization. The role requires strong analytical skills and effective communication to maintain compliance with financial regulations and standards.
Identification - To identify the risks that Company faces and advise on them
# Prevention - To design and implement controls to protect Company from those risks
# Monitoring and Detection - To monitor and report on the effectiveness of those controls in the management of an organization's exposure to risks
# Resolution - To resolve compliance difficulties as they occur
# Advisory - To advise the business on rules and controls
# With assistance and support of Head of Compliance will also liaise with law enforcement on the issue of whether to proceed with a transaction or what information may be disclosed to clients or third parties
# Oversees compliance monitoring program and all compliance issues and report to Head of Compliance
# With assistance and support of Head of Compliance deals with external organizations as local regulatory body or other auditors and external compliance consultant
# With assistance and support of Head of Compliance designs and implements systems for the operation of firm within local regulatory body or other regulatory rules
# This is achieved through firm’s detailed monitoring program which is carried out on a quarterly basis.
# With assistance and support of Head of Compliance supervise Training and Competence propriety of the individuals within the firm
# Acts as a contact point for local regulatory body or other regulatory body and inform Head of Compliance
# Prepares and submits reports to local regulatory body
# Registers (and notifies local regulatory body if required) rule breaches and takes appropriate remedial action
# Registers details of complaints to ensure complaints are resolved efficiently and effectively
# With assistance and support of Head of Compliance identifies and manages money laundering risks
# Prepares and forwards AML reports to firm’s Head of Compliance and Board on an annual basis
# Receives internal reports from firm’s staff and makes external reports to regulatory body after approval of Head of Compliance
# Takes reasonable steps to establish and maintain adequate arrangements for awareness and training of AML

Compliance Management and Regulatory Compliance skills
Experience in the financial industry or related field
Bachelor's degree in Finance, Business, or a related field
#

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