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Compliance Executive

2 months 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 implement changes in a timely manner.
  • Attend committee meetings to present management information on various topics, including AML, ABC, TCF, complaints, and staff training.
  • Administer compliance training to staff on regulatory issues, UK financial services standards, and company policies.
  • Maintain a complaints register and handle complaints, including liaison with the Financial Ombudsman Service.
  • Monitor and raise breaches, maintaining a breach register.
  • Manage and monitor conflicts of interest, maintaining a conflicts of interest register.
  • Act as the whistleblowing champion, implementing and communicating relevant policies.
  • Prepare and submit AML reports to the Board on an annual basis.
  • Work with the business to drive a strong AML culture.
  • Maintain and review policies, procedures, and practices to ensure compliance with laws and regulations.
  • Oversee the revision, preparation, and dissemination of new and updated AML standards and procedures.
  • Coordinate, supervise, and support AML-related programs.
  • Work with senior management to ensure the business implements and maintains suitable AML systems and controls.

Requirements:

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