Regulatory Compliance Officer Financial Institution

2 days ago

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

Regulatory Compliance Officer Financial Institution

Job Description:

We are seeking a highly motivated Regulatory Compliance Officer to join our team at Compliance Professionals. The successful candidate will work closely with the senior management team to ensure that our financial institution maintains the highest standards of compliance and regulatory adherence.

This is a fantastic opportunity for someone with a strong background in regulatory compliance to take their career to the next level. You will be working with a leading multi-national energy company, ensuring that all regulatory requirements are met and maintained.

Responsibilities:

  • Financial Conduct Authority compliance – Ensuring that the FCA regulated entity complies with relevant rules and guidance as specified in the UK FCA's handbook. Completing regulatory requirements such as FCA returns and reporting executed derivative transactions to an approved trade repository.
  • Compliance Advisory – Monitor changes to regulatory requirements and exchange rules and communicate impact to relevant internal stakeholders, including Trade Managers, Traders, and back-office functions. Provide timely, accurate advice and guidance on compliance and regulatory issues.
  • Compliance Policies & Procedures – Review and revise existing Commercial Compliance policies and procedures to ensure that they meet both external regulatory requirements and internal corporate standards.
  • Risk-based third party due diligence & screening – Obtain due diligence documentation from potential new counterparties relating to risk-based financial crime screening.
  • Ongoing Financial Crime Monitoring – Assist with ongoing monitoring of approved counterparties, for example, investigating alerts from our automated screening tools.
  • Records Management – Ensure AML records are created and retained in the correct manner and meet all FCA retention requirements.

Requirements:

  • Experience of working in a compliance function of an energy company or financial institution would be an advantage.
  • Familiarity with UK financial services regulation (FCA Handbook) and commodity exchange regulations.
  • Interpretation of regulatory requirements/exchange rules and their application to a commercial energy business.
  • Knowledge of UK Anti-Money Laundering regulations such as the POCA, FCA rules, JMLSG guidelines, and the UK Money Laundering & Terrorist Financing Regulations.
  • Experience of using screening & due diligence tools such as BVD's Compliance Catalyst or Refinitiv World-Check One.
  • Knowledge of multiple legal entity structure types and associated documentary requirements.

Estimated Salary: £70,000 - £90,000 per annum.

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