Compliance Officer

3 weeks ago

London, United Kingdom Compliance Professionals Full time

Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence, client screening, risk assessments, policies and procedures. They will be heavily involved in the delivery of the MLRO report, the financial crime risk assessment, FCA reporting relating to AML/CTF and other related processes.
SMCR –The candidate will support the compliance function in the maintenance of the firm’s SMCR Compliance Framework. Including assessing and advising on appropriate exam requirements for new joiners, the delivery of focused Compliance induction training, submission of SMCR application forms to the FCA, delivery of the annual fit and proper sign off process and the tracking of progress in these areas and reporting to the relevant governance forums on this topic.
Provision of training – the candidate will help to administer, develop and deliver the firms regulatory training. This will include onboarding training to new members of staff, and ad hoc regulatory training on topical subjects as required
Monitoring and Surveillance - Conduct ongoing surveillance and thematic reviews in conjunction with other compliance team members. Establish scope, conduct and document testing, write up output into digestible format suitable for reporting to the local Management Boards. Regulatory reporting – submission of Compliance reporting to the FCA. This includes periodic reporting to the FCA using Reg Connect or Reg Data and assisting other members of the team in the submission of short selling reporting, takeover panel reporting and majority shareholding reporting.
Management Information – Produce high quality, informative and accurate Management Information regarding the status of the Compliance Monitoring Programme, AML statistics and other Compliance data. Assess the effectiveness of current policies, procedures, monitoring and controls. Regulatory implementation projects – assist the business by working with other members of the Compliance team to assist with the implementation of Regulatory change


3-5 years Asset Management /Wealth Management Compliance experience.
~ Strong knowledge and understanding of the financial services industry, the market participants, products and services provided, and an end-to-end understanding of investment transactions.
~ Strong technical knowledge – including a detailed understanding of FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager.
~ Experience in implementing processes, controls, governance, and/or compliance activities for regulatory changes, new/changing business models, services/products, and/or technologies
~ Technical /Analytical Proficiency – third party systems, MS Powerpoint, Excel, Word

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