Compliance Executive

4 days ago

London, Greater London, United Kingdom Compliance Professionals Full time
Job Description:

Job Title: Compliance Executive

Job Summary:

We are seeking a highly skilled Compliance Executive to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for ensuring that our company operates in accordance with all relevant laws and regulations.

Key Responsibilities:

  • Manage and oversee the compliance department, providing guidance and advice as necessary.
  • Develop, maintain, and enhance our compliance program, policies, and procedures to ensure they are up-to-date and effective.
  • Monitor and report on transaction activity to ensure compliance with FCA, MiFID, and EMIR rules.
  • Review and approve financial promotions to ensure they are compliant with regulatory requirements.
  • Stay up-to-date with regulatory developments and work with other departments to ensure timely implementation.
  • Present Management Information (MI) to senior management on compliance-related issues.
  • Administer compliance training to staff on regulatory issues and company policies.
  • Maintain records of complaints and handle customer complaints in accordance with regulatory requirements.
  • Monitor and report on breaches of compliance and maintain a breach register.
  • Manage conflicts of interest and maintain a conflicts of interest register.
  • Implement and communicate whistleblowing policies and procedures.
  • Prepare and submit Anti-Money Laundering (AML) reports to the Board on an annual basis.
  • Drive a strong AML culture within the business.
  • Review and maintain policies, procedures, and practices to ensure compliance with laws and regulations.
  • Oversee the development and dissemination of new and updated AML standards and procedures.
  • Coordinate and supervise AML-related programs and ensure the business implements suitable AML systems and controls.

Requirements:

  • 5+ years of experience in a generalist compliance role (not pure AML/KYC).

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