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Compliance Specialist

2 months ago

London, Greater London, United Kingdom Plutus Full time £45,000
Job Title: Compliance Officer

We are a UK-based Fintech startup, Plutus, bridging the gap between traditional payment infrastructure and blockchain technology.

About the Role

As a Compliance Officer, you will play a crucial role in ensuring Plutus operates in accordance with all legal and regulatory requirements. You will be responsible for providing compliance advice to the Plutus team, business units, and management.

Key Responsibilities
  • Construct, review, and maintain compliance policies, procedures, and processes to ensure the systems and controls framework is adequate and up-to-date.
  • Conduct compliance reviews, perform compliance monitoring, and surveillance to ensure policies, procedures, and practices are being followed and adhered to.
  • Provide regular internal management information on compliance-related activities, including the development of compliance governance packs.
  • Manage awareness, identification, and remediation of compliance breaches, and ensure these are escalated appropriately.
  • Implement risk-based monitoring and assurance programs on core oversight activities, such as complaints, customer outcomes, outsourcing, product governance, financial promotions, etc.
  • Assist in the development and delivery of compliance training to the organization.
  • Partner with the other Team Lead to drive the appropriate execution of compliance requirements and product governance.
Financial Crime Compliance

You will assist the Money Laundering Reporting Officer (MLRO) in ensuring Plutus operates in accordance with all legal and regulatory requirements and group standards relating to Anti-Money Laundering and Counter-Terrorism Financing, Market Abuse, Anti-Bribery, PEPs, and Sanctions, Criminal Finances, and Fraud.

  • Assess the money laundering risks of any new products and services or new channels for promoting and distributing them.
  • Perform financial crime thematic reviews and implement control testing programs.
  • Perform group-wide risk assessments and communicate outcomes to senior management committees and via the MLRO Report.
  • Maintain oversight of High-Risk relationships, PEP management, EDD sign-off, periodic, and trigger review processes, and breach management, escalating to the MLRO where appropriate.
Data Protection Officer

You will be responsible for ensuring Plutus complies with data protection regulations, including the General Data Protection Regulation (GDPR).

  • Keep policies and procedures up-to-date.
  • Roll out AML training to all new and existing employees.
  • Keep up to date with relevant regulatory news.
  • Ensure all regulatory changes are reviewed, and the impact notified to the Principal Officer and/or Board.
  • Conduct ad-hoc reviews and/or special investigations as required.
  • Identify and evaluate the company's data processing activities.
  • Provide advice and instructions on how to conduct Data Protection Impact Assessments (DPIAs).
  • Monitor data management procedures and compliance within the company.
  • Ensure we address all queries from data subjects within legal timeframes.
  • Liaise with other organizations that process data on our behalf.
  • Write and update detailed guides on data protection policies.
  • Arrange for training on GDPR compliance for employees.
  • Follow up with changes in law and issue recommendations to ensure compliance.