Compliance Officer - FTC
A great opportunity for a compliance officer to develop in an exciting market
A competitive salary
About Our Client
The client is a commodities business, with the role being based in London.
· Further develop and enhance the enterprise-wide compliance framework and actively monitor
and maintain compliance with regulatory requirements
· Manage the day-to-day approach to compliance with AML requirements,
supporting the MLROs and providing advice and guidance to Market Access and other functions
with onboarding/due diligence matters, including through review of processes and procedures
and focussed training.
· Complete the annual Financial Crime and Tax Evasion Risk Assessment and
remediation of findings.
· Operate the formal program of internal compliance testing to ensure adherence to compliance
requirements and undertake the testing as required.
· Ensure that potential issues identified through compliance testing are investigated and reported,
with mitigation plans put in place for timely resolution.
· Manage the training and communication program, maintaining a dynamic
approach to the adoption of new styles/content as regulatory expectations change.
· Ensure the consistency of the compliance programme with Group compliance
policies and procedures
· Formulate, deliver and review the compliance policies in accordance with
regulatory and legal obligations
· Work closely and cooperatively with the business, to ensure that all business, operational and
technology areas have a clear understanding and ownership of their
The Successful Applicant
· Good Level experience of working in compliance within Financial Services
· Knowledge of and practical experience of existing UK compliance requirements is essential,
especially around testing of controls and procedures.
· Knowledge of and familiarity with other relevant legislation, e.g. money laundering, anti-bribery,
whistleblowing is essential
· Knowledge and practical experience of REC (FCA Handbook in relation to RIEs) and EMIR (in
relation to CCPs) is not essential but highly desirable
· Practical and methodical with an analytical mind-set
· Excellent communication (including written communication) and interpersonal skills
· Ability to identify and implement improvements in the department's processes
· Ability to tailor messaging to different audiences at all levels of seniority
· Ability to interpret and solve complex problems
· Ability to work independently or collaboratively in a team and to be able to prioritize work and
to manage expectations
· Ability to manage and mentor junior members of the team and encourage good practice
· Ability to manage a number of different matters simultaneously
· Demonstrates a high level of attention to detail and reasoned judgment at all times
What's on Offer
A competitive salary, a great team and the opportunity to work with an exciting and dynamic business.