Compliance Officer

2 weeks ago

London, United Kingdom Compliance Professionals Full time

**THE COMPANY**:
Our client is a rapidly growing boutique investment banking firm providing financial services to a range of clients.

**THE RESPONSIBILITIES**:

- Conducting financial crime and regulatory compliance monitoring in accordance with the firm’s Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP);
- Conducting surveillance activities to detect market abuse;
- Maintaining the firm’s insider list;
- Transaction File Reviews;
- Review and Update policy and Procedures;
- Providing expertise and support to KYC and on-boarding processes;
- Responding to ad hoc queries from the business on compliance related matters;
- Advising on regulatory changes and development;
- Maintaining knowledge of regulatory developments and current affairs concerning Sanctions, Anti-Money Laundering and Terrorist Financing, Legal and regulatory obligations under the Money Laundering Regulations, Proceeds of Crime Act, Serious Organised Crime, Market Abuse, Bribery and Corruption;
- Responding to regulatory enquiries;
- Preparing and delivering training when required;
- Assisting the Head of Compliance with delegated compliance tasks;
- Conduct annual risk assessments;
- Perform Central compliance tasks e.g. approve PA dealing, maintain Breaches Register;
- Must be a strong team player; and
- Flexibility to work unusual hours on occasion as and when required.

**EXPERIENCE REQUIRED**:

- Generalist compliance experience in a financial services firm
- Experience in conducting investigations and drafting STORs and SARs;
- Proficient IT skills, eg: Microsoft Office, etc;
- Excellent communication skills, including written, oral and presentation skills;
- A self-starter and able to work independently and in a team environment;

For further information please contact Natalie Eshelby

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