Compliance Officer of Professional Ethics

2 weeks ago

London, United Kingdom AMS Contingent Full time

We are AMS. We are a global total workforce solutions firm; we enable organisations to thrive in an age of constant change by building, re-shaping, and optimising workforces. Our Contingent Workforce Solutions (CWS) is one of our service offerings; we actas an extension of our clients' recruitment team and provide professional interim and temporary resources.

Our investment banking client has been present in the UK for more than 150 years, they're a long-term partner to British business. Today, the Group is formed of 10 divisions and employs 9,300 staff based in 21 core locations right across the country. Theirrole is simply stated: help clients achieve their goals by combining local know-how and global reach. In so doing, they seek to make a positive, sustainable contribution to both the UK economy and society.

On behalf of this organisation, AMS are looking for a **Compliance Officer of Professional Ethics** for a **6-month** long contract based in **London** (hybrid pattern of working).

**Purpose of the role**:
As a Compliance Officer of Professional Ethics, you will be responsible for dealing with the day-to-day business queries and activities in relation to Compliance policies, procedures and processes relating to Personal Account Dealing, Outside Business Interests,Gifts & Invitations, and Close Personal Relationships - Conflicts of Interest Management. This will include using the Compliance Ethics Tool (CET) and working with team colleagues to identify and implement system and policy updates.

**As a Compliance Officer of Professional Ethics, you will**:

- Understand and be able to advise clearly on policy requirements and to carry out relevant processes according to the procedure.
- Take responsibility (with other team members) for promptly dealing with requests and queries received through the team mailbox or other routes as required.
- Review processes and requests to assess if there are any potential or actual conflicts of interests or other issues, following steps set out in relevant procedures.
- Escalate any difficult issues including breaches identified, following the breach process, and ensure that all decisions are clearly recorded.
- Support as required the process for Gifts & Invitations and PR disclosures or confirmations.
- Assist with the development of the system (the CET) and implementation of system changes as required and support the implementation of new processes and policies.
- Provide regular and ad hoc reports for both the business and compliance management as required.
- Assist with the upskilling of and day to day collaboration with staff in the new off-shore hub as they progressively take on more tasks, performing quality assurance as required.
- Support the Head of Professional Ethics on other projects as required.
- Maintain appropriate knowledge to ensure to be fully qualified to undertake the role; complete all mandatory training as required to attain and maintain competence.

**What we're looking for**:

- Compliance experience including in Professional Ethics topics - particularly Personal Account dealing and Gifts & Invitations.
- Understanding of Investment Banking products.
- The ability to handle routine requests from the business and other functions and to manage relationships and expectations of senior stakeholders.
- Excellent analytical skills and attention to detail - including record keeping and production of reports.
- Proficiency in Excel.
- Knowledge of software systems used in Professional Ethics.
- Excellent prioritisation, organizational and multi-tasking skills.
- The ability to deliver results effectively in a fast-paced environment.
- Strong verbal, written and interpersonal communication skills.
- Ability to build relationships and foster business partnering across multiple disciplines.
- Ability to work independently under own initiative.

**Next steps**:
**This client will only accept workers operating via an Umbrella or PAYE engagement model.**
AMS, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business.

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