Compliance Officer
3 weeks ago
Job Description
Compliance Officer - Bank Our Client is looking to recruit a Compliance Officer with at least 3 years experience of working within Compliance from the banking industry.- To promote and manage the culture and practice of regulatory compliance and ethical standards conduct across London Bank Branch
- To ensure the effectiveness of the Financial Crime Prevention framework with particular emphasis on AML/CTF and Sanctions Compliance
- To be a SME for regulatory compliance and Financial crime matters to the London Bank Branch staff
- To support the Head of Compliance in the management of compliance and regulatory risks, including liaison with the Regulator's Financial Intelligence Authority and any other regulatory and law enforcement bodies.
- Perform on going transaction monitoring, on higher risk rated clients at an agreed frequency, as and when required
- To escalate suspicious or ambiguous transactions to supervisor/Manager or Head of Compliance for a review or decision
- Perform Compliance Review on respective business units on periodic basis, as per Compliance Review plan endorsed by Senior Management team
- Perform Control Effective Testing (CET) on selected key business areas, especially areas that poses higher risk in Compliance and/or AML
- Ensure all control gaps are identified and addressed, closed to mitigate any potential risks.
- Assist Head of Compliance with Compliance/Anti-Money Laundering advisory to business team, when required
- Identify potential AML & Compliance process or policy improvements and communicate findings and recommendation to quality assurance management team
- Provide guidance and training, where required on areas of improvement
- Perform on going validation of monitoring strategies to ensure appropriate AML and Compliance governance and control
- Conduct timely follow up on pending outstanding issues to ensure proper resolution and issue closure
- In-depth knowledge of AML compliance function, including the related/applicable rules and regulations
- The required understanding of the business/business units and it's operations.
- Advance knowledge of MS Office especially MS Excel, MS Powerpoint etc.
- Personal integrity and ethics.
- Good judgment in enabling the provision of sound advice on regulation and practice, proactive management of compliance and regulatory risks.
- Good presentation and influencing skills, required in guiding and assisting teams in putting forward proposals for clients, whenever necessary.
- Effective managerial skill as a point of reference for the subordinates.
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