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Compliance Officer

2 months ago

London, Greater London, United Kingdom Compliance Professionals Full time

Job Summary:

We are seeking a highly skilled Compliance Coordinator to join our team at Compliance Professionals. As a key member of our Compliance team, you will play a critical role in ensuring our firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Provide management information to the Firm's Head of Compliance & Risk Committee on Code of Ethics violations
  • Review Personal Account dealings for all staff
  • Review Outside business interests and private placements of all staff
  • Manage the Firm's Compliance training programme (including conducting new starter training)
  • Responsible for managing the Firm's FCA Certified & Senior Manager Fitness & Propriety programme (including FCA regulatory filings)
  • Manage the Firm's FCA regulatory reporting calendar
  • Monitor the Firm's Voice Recording population for in scope staff
  • Be project lead on the Compliance team's surveillance AI initiatives
  • Assist the Compliance team on wall crossings on leveraged loans and bonds as part of the Firm's market abuse controls
  • Assist in the execution of reviews in the Firm's risk-based monitoring & surveillance programme
  • Assist in reviewing financial promotions/marketing

Requirements:

  • Knowledge of financial instruments, such as debt and equity
  • Skilled in MS Excel
  • Familiarity with compliance testing and Code of Ethics (PA Dealing, Gifts & Entertainment etc)

Working with Us:

At Compliance Professionals, we are committed to providing a supportive and collaborative work environment that allows our employees to grow and develop their careers. We offer a range of benefits and opportunities for professional development, and we are proud to be an equal opportunities employer.