Compliance Officer

4 days ago

London, UK, United Kingdom SEB Full time

Compliance UK now seeks to appoint a Compliance Officer focusing on financial crime prevention and oversight and supporting with regulatory compliance matters.

Compliance UK is part of Group Compliance, an independent second line function in the SEB Group responsible for advising, controlling and following up on the Group’s compliance with external and internal regulatory requirements. We are entrusted with driving and promoting compliance issues on behalf of the Board and Executive Management of the Group as well as Head of Branch and senior management locally. We work closely with the business and other support functions.

Compliance UK consists of a team of five (5). This includes Compliance Officers, and the two Co-Heads who manage the function; one responsible for financial crime prevention (also appointed as Money Laundering Reporting Officer, MLRO) and one for regulatory compliance. As a member of Compliance UK, you will be reporting to these Co-Heads and perform a wide range of duties related primarily to second line financial crime prevention and supporting regulatory compliance.

Key Responsibilities

  • Participate in the annual Compliance risk assessment and develop the Compliance monitoring plan (financial crime and regulatory related);
  • Drive and perform activities in the Compliance monitoring plan;
  • Provide proactive Compliance advisory support to management and staff;
  • Prepare regular and ad hoc Compliance reporting to Group Compliance and Branch management, including attendance and presentation at relevant committees and forums;
  • Develop and improve key Compliance processes and related internal procedures, with a focus on financial crime prevention, such as Anti-Money Laundering, Counter-Terrorism Financing, Economic Sanctions, Anti-Bribery & Corruption, Market Abuse, Fraud and Anti-Tax Evasion;
  • Monitor regulatory developments and ensure timely implementation and communication to stakeholders;
  • Promote Compliance awareness, and design and perform training programmes;
  • Participate in Compliance or other internal investigations/reviews, including supporting the MLRO with suspicious activity investigation and filing, as well as assessment of higher risk customer onboarding and activity;
  • Build strong relationships with Group Compliance colleagues at other sites and develop awareness about UK activities and the regulatory environment; and
  • Manage communication with and/or reporting to the FCA, PRA and other regulators.

The Individual

The successful candidate will have a proven track record within financial crime prevention and preferably the regulatory compliance arena and have substantial experience covering key areas of framework setting, monitoring and compliance advice. Ideally, the candidate will also be familiar with corporate and/or investment banking and markets.

Candidate profile

  • University degree, ideally in law or finance, or equivalent form/level of education;
  • A compliance officer, with 5-8 years’ experience in the financial industry in the UK and ideally internationally;
  • Regulatory knowledge of relevant legislation, such as Anti-Money Laundering, Economic Sanctions, Anti-Bribery & Corruption, Market Abuse, MiFID, PSD, Conflicts of Interests (G&E, PAD, etc), Conduct, and the FCA Handbook/PRA Rulebook (including SM&CR);
  • Experience of implementing, or supporting the implementation of, regulatory requirements;
  • Ability to build relationships and credibility with key stakeholders and to work collaboratively with other teams and departments;
  • Able to analyse regulatory issues and support in translating such analysis to effective advice for management and staff;
  • Experience in building working relationships with the FCA and relevant industry groups;
  • Pro-active, flexible, curious, pragmatic and solutions-oriented;
  • Effective time management, and ability to manage work independently and support others in the team with dynamically shifting priorities, timelines and demands;
  • Strong written and verbal communication and presentation skills;
  • Organised and structured, with high level of independence, integrity and excellent judgement.

In addition, prospective candidates will also need to demonstrate the following key attributes and capabilities:

  • Alignment with SEB Purpose and Core Behaviours;
  • Willing to learn and take on responsibilities as they develop their profile;
  • A team player who is excited by the prospect of collaborating in a small team and making an impact; and
  • Results oriented, an individual who gets things done with high energy and stamina levels.

Desired Criteria

  • Knowledge of corporate, investment banking, markets and/or private wealth management would be preferable;
  • Knowledge of the Nordic financial community; and
  • Understanding of Nordic languages (not a requirement for the role).

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