Junior Compliance Officer

2 weeks ago

London, UK, United Kingdom Guardian Professional Corporate Services Full time

Based in London, Guardian HR is a growing, forward-looking business that offers its employees career development and a fast-paced, collegial, working environment.

We offer recruitment services designed to meet our client’s business needs. From planning, all the way through to onboarding and induction, we strive to support clients to the whole recruitment process.

We’re looking for a Junior Compliance Officer to join one of the leading FinTech companies located in London.


Key Responsibilities:

· Assist with any due diligence tasks required

· Assist with transaction monitoring, review, screening, sales queries and escalations

· Provide risk based and proportionate financial crime advice across the firm’s retail business units on all aspects of financial crime compliance, including anti-money laundering, anti-bribery, anti-facilitation of tax evasion, politically exposed persons, sanctions and adverse media and conduct areas

· Assist the Director of Compliance, MLRO and DMLRO with oversight of the firm’s financial crime and compliance program. Hold regular oversight meetings with the firm’s businesses to discuss issues and challenges and help the business to find proportionate and risk-based solutions.

· Help to develop financial crime and compliance policies, standards and procedures, and keep these up to date.

· Stay up to date with regulatory developments and industry trends, especially technologically driven financial crime and conduct solutions.

· Assist with the deployment of the Compliance Monitoring programme.

· Conduct risk assessments of prospective and existing customers to evaluate the financial crime and reputational risk, and produce written reports;

· Assist with the development and delivery of computer-based training modules.

· Create and deliver tailored face-to-face training to on a targeted, risk-driven basis across subjects such as anti-money laundering, customer due diligence, watchlist match resolution, suspicious activity reporting and adverse media, conduct and

· Support the Director of Compliance and DMLRO with the annual financial crime and business wide risk assessments,

· Assist the Director of Compliance MLRO and DMLRO with other financial crime or conduct related tasks and projects as required.

Qualifications, Skills, and Experience:

  • 2 years working experience;
  • Previous experience in FinTech industry is essential
  • Preferably holder of a Bachelor of Law LLB Hons.
  • Experience in a Bank or Management Company.
  • Knowledge of AML
  • Experience in Risk rating Protocols.
  • Hands-on, self-motivated, and naturally organised individual.
  • Strong time management skills and the ability to meet deadlines.
  • Proactive, task-driven, and positive attitude.
  • Excellent interpersonal, oral, and written communication skills in English
  • Detail-oriented and able to multi-task.
  • Fully fluent with the use of Microsoft tools such as Word, Excel, PowerPoint Office 365 etc.

Schedule:

  • Monday to Friday

Job Types: Full-time, Permanent

Work Location: In person

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