Compliance Officer

3 weeks ago

London, United Kingdom Tokio Marine HCC Full time

**Role**:Compliance Officer**
**Location: City of** **London**
**Contract: Permanent**

**Hours: 35 per week**, 2 days working from home**

**Why **Tokio** Marine HCC?**

Standing still is not an option in the current world of Insurance. TMHCC are one of the world’s leading Specialty Insurers. With deep expertise in our chosen lines of business, our unparalleled track record and a solid balance sheet, TMHCC evaluates and manages risk like no one else in the industry. Looking beyond profit, empowering our people and delivering on our commitments are at the core of our customer values, and so is a desire to grow and provide creative and innovative solutions to our clients.

**Job Purpose**:
**Key Responsibilities**:

- To provide advice on queries from the business relating to licensing and financial crime (Sanctions, AML, ABC, Conflicts of Interest, Gifts & Entertainment, Fraud, POCA, Market Abuse).
- To support underwriters by reviewing and performing the necessary Enhanced Due Diligence checks, where required.
- To review and implement a scoresheet and guidance document to assist executive management with approving customers and / or transactions deemed to be ‘high-risk’.
- To provide input to all Know Your Customer (KYC) requests from third parties and produce a standard compliance KYC response document.
- To manage the review of the daily sanctions alerts via the various screening systems.
- To assist with the production of the half-yearly MLRO reports.
- To assist in the completion of the annual risk assessment of every key area’s exposure to and control over financial crime, evaluating their controls and their understanding of the company-wide controls in place, ensuring the follow-up of any recommendations.
- To assist in the implementation of any findings arising from the historic financial crime risk assessments.
- To ensure that all financial crime training modules remain current and effective and provide training to staff, including the delivery of face-to-face training, as required.
- To support and produce financial crime, monitoring and / or advisory Compliance Hot Topics for review and issuance by the Senior Compliance Officer(s).
- To assist and perform the annual Conflicts of Interest attestation and manage the Conflicts of Interest / Gifts & Entertainment registers.
- To carry out the quarterly Segregation of Duty reviews, and check for any segregation of duty issues on all new system access requests.
- To assist with the completion of the monitoring activities that comprise the Compliance Monitoring Programme and identify and support the implementation of enhancements to this programme as necessary.
- To ensure that the importance of contract certainty is understood across the Company and that controls to monitor contract certainty are embedded.
- To support the Compliance Department as required and perform tasks requested by the Senior Compliance Officer(s), such as horizon scanning; regulatory returns; compliance projects etc.
- To promote a culture of compliance by raising awareness of compliance and regulatory matters and ensure adherence to applicable laws and regulations.

**Performance Objectives**:
1. Alongside the Senior Compliance Officer, manage all business queries relating to financial crime, sanctions and / or licensing.

2. To review and update the AML, ABC, Fraud and Sanctions training modules.

3. To respond to queries from the business within the agreed service standards.

4. To successfully renew the LATAM and other licenses in advance of the renewal dates.

5. To close sanctions alerts within 24-48 hours, where possible.

**Skills and Experience Specification**:
**Esse**ntial**
- An instinct to be proactive, identifying improvements to the Department’s ways of working, reporting and communications.
- Strong analytical skills.
- Ability to manage own workload, prioritising tasks appropriately and ensuring that agreed delivery dates are achieved.
- Excellent interpersonal skills, able to communicate effectively with a wide range of people face to face and over the telephone, Teams etc.
- Good written communication skills so can respond to correspondence in a professional manner both internally and externally.
- A minimum of four years’ experience in providing financial crime advice to the business in a compliance role.
- Experience in using a minimum of one Sanctions Screening Tools (AST)
- Worked as part of a team and the willingness to help others

**Desirable**:

- Having used and cleared daily sanctions screening alerts.
- Recognised financial crime qualifications.

“Tokio Marine HCC is a leading specialty insurance group with offices in the United States, the United Kingdom, Europe, and other locations. With the strength and stability that comes from being a member of the Tokio Marine group, and more than forty years of growth, profitability, and stability, we offer important insurance products that most people do not even know exist.

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