Senior Compliance Officer

5 months ago

London, United Kingdom Blue Monday Ltd Full time

**Role**:Senior Compliance Officer - AML and Financial Crime

**Location**: London, Mayfair

**Reporting to**: Head of Compliance

Company**:LetterOne **( Private Equity)

**Summary**:
The Senior Compliance Officer will be responsible for overseeing the implementation and management of all KYC onboarding and Financial Crime requirements on third parties. You will also need to ensure timely handling of third-party onboarding checks. The Senior Compliance Officer will play a key role in LetterOne’s adherence to applicable financial crime and AML laws, regulations, and internal policies.

**Responsibilities**:

- Support the LetterOne Compliance Team as the resident expert on AML and Financial Crime matters.
- Manage incoming KYC requests (new client onboarding or periodic review) from banks and service providers.
- Own and manage KYC analysis of new and existing counterparties, including collection of KYC documentation and identification of any high-risk issues.
- Take an active role in evaluation of compliance risks in strategic investments by LetterOne, alongside the deal teams as part of first line of defense.
- Conduct regular risk assessments across the business from an AML and Financial Crime viewpoint, and ensure these appropriately reflected in the Compliance risk register.
- Maintain the compliance records (high-risk counterparty list, restricted list, insiders list, approved list, authorised persons list, banking payments list, NDA register, etc.).
- Analyse and respond to personal account dealing requests, gifts & hospitality requests and maintain appropriate registers.
- Assist in the preparation of regular and ad hoc compliance reports.
- Monitor the relevant laws and regulations and provide input on the impact of any changes to the Head of Compliance.
- Provide input and assist in the review of internal policies and procedures.
- Promote a culture of compliance through effective communication and awareness campaigns.
- Conduct effective investigations into potential breaches and recommend corrective actions to the Head of Compliance.
- Uphold and monitor the LetterOne’s ethical standards and integrity.
- Stay informed about industry trends, regulatory changes, and best practices in compliance.
- Drive continuous improvement initiatives to enhance the effectiveness and efficiency of the compliance program.

**Qualifications & Skills required**:

- University Degree educated (preferably in Law, Economics or Finance).
- At least five years of relevant working experience in a similar position, ideally within the KYC team of a Financial Services Company or AML consulting at the Big Four.
- Good knowledge of AML regulations and ability to negotiate with financial services companies on the KYC requirements.
- Good knowledge of corporate governance and structures, with the ability to research corporate structures and establish ultimate beneficial ownership.
- In-depth knowledge of relevant laws, regulations, and industry standards.
- Knowledge of GDPR and how it relates to real transactions and contracts.
- Excellent communication, leadership, and interpersonal skills.
- Fluency in English; French/ German or other European languages are desirable.

**Personal Attributes**:

- Ethical and principled individual committed to maintaining and demonstrating the highest standards of integrity.
- Strategic thinker with strong analytical and decision-making capabilities.
- Excellent interpersonal and communication skills with the ability to engage and motivate teams.
- Collaborative, adaptable, and results oriented.

**Benefits**:
Private healthcare, Wellness allowance, Pension scheme.

Competitive holiday allowance and flexible working.
- L1 _is an equal opportunities employer. We believe passionately that employing a diverse workforce is central to our success. Our recruiting decisions are based on your experience and skills._

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