Role details

Compliance Officer

City of London   •   £500 - £550 per day (£129,990 - £142,989)   •  Temporary

Bullet points

  • General knowledge of FCA Rulebooks and Financial Crime Instrument
  • Project managment and monitoring expereince

About Our Client

UK financial services company that is regulated and authorised by the UK Financial Conduct Authority ('FCA')

Job Description

Main activites for the role include;

∙ Develop, execute and maintain the reporting function for the Compliance Monitoring Programme;

∙ Assist with preparation of and assist employees with internal and external regulatory exams and audits;

∙ Assist with organisations application of internal compliance policies and procedures, FCA rules and SMBC global compliance objectives;

∙ Provide guidance and advice on material reputational issues involving financial crime and UK sanctions regime compliance;

∙ Provide compliance input into Common Investment Funds "CIF", Customer Due Diligence Automation Solution;

∙ Assist in preparation of internal and external reports and material gathering;

∙ Monitoring of appropriate information and insider trading prevention procedures;

∙ Review and assess suspicious transactions report log;

∙ Monitor European regulatory development and identify new regulations that will impact the organisation

∙ Develop training materials and conduct training sessions as necessary on compliance and AML topics;

∙ Carry out initial assessment of suspicious activity reports;

∙ Identify new regulations impacting the business and record action taken as necessary;

∙ Attend all AML and compliance meetings as required.

∙ Carry out ad hoc compliance / anti financial crime projects as required.

The Successful Applicant

Key Skills & Abilities

Proven experience of hands‐on compliance anti‐financial crime gained in a securities house, brokerdealer and/or wholesale banking.

Experience of the following functions are desirable:

∙ bond underwriting;

∙ bond arrangement and brokerage;

∙ equity sales and trading;

∙ equity capital markets;

∙ remediation reviews;

∙ project management.



Additional skills required:

∙ Excellent verbal and written communication skills;

∙ Strong technical skills as well as interpersonal and organisational skills;

∙ Ability to work independently and as part of a team;

∙ Highly articulate and able to apply new skills effectively;

∙ Able to multi‐task and prioritise multiple projects;

∙ Able to build relationships and have good rapport with stakeholders

What's on Offer

3 Month contract with a view to extend.

Apply for this job

Click the Apply or LinkedIn button below or contact Ian Christie on +44 207 645 1457 quoting job reference 13707602
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