Brand new role with a growing organisation
Generalist compliance role
About Our Client
My client is an expanding FinTech firm based in Central London.
There are a number of areas the Compliance Officer will be responsible for on a day-to-day:
* Overseeing and supporting the business with compliance and regulatory change projects;
* Drafting and reviewing policies and procedures resulting from regulatory changes;
* Drafting and issuing of anti-financial crime policies and procedures;
* Assist in overseeing the anti-money laundering monitoring programme (e.g. assessing client due diligence for risk factors, transaction monitoring & sanctions screening);
* Review expenses and pre-approval for entertainment of government entities for anti-bribery and anti-corruption purposes;
* Negotiation of Company Agreements and other documentation which includes, amongst others, ISDA, CSA, NDA, Service Level Agreements, Customer Agreements; and
* Ensure client on-boarding meets regulatory requirements, with particular focus on:
- AML, KYB, and co-ordination amongst various teams
- Client reporting and marketing documentation review, approval and record keeping.
- Keeping client legal and compliance records up to date.
- Creation and regular review and update of compliance and legal policies and procedures
- Background checks for service providers and new employees.
* Liaison across the whole organisation to create compliance reports, ensuring that the content is accurate and up to date and that they are produced in a timely manner and to a high quality;
* Maintaining an annual reporting calendar and ensuring all departments are aware of their reporting obligations and deadlines;
* Oversee/conduct anti-financial crime risk assessments, including the tracking and review of anti-financial crime regulatory changes;
* Assist the MLRO in producing the annual MLRO report and FCA REP-CRIM report;
* Collating and producing management information on a range of anti-financial crime data; and
* Coordinate Firm annual audits and lead requirements for compliance team audit.
* Keeping up to date with regulatory changes in the UK, EU, USA and other jurisdictions in which the firm conducts business;
* Delivering face to face training to all members of the firm on regulatory matters; and
* Designing, implementing and managing the firms Compliance Monitoring Programme.
The Successful Applicant
The successful Compliance Officer will have experience in the following:
- A deep understanding and working knowledge of European financial services regulation, including Market Abuse Regulation, Markets in Financial Instruments Directive II and the Financial Conduct Authority Handbook;
- In depth knowledge of relevant of OTC FX derivatives and familiarity with FX Global code;
- The ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal and regulatory provisions;
- Excellent communication skills, both written and verbal
- Able to analyse regulatory and reputational risk and where necessary escalate matters to the appropriate management level;
- Self-motivated with good time management skills;
- High levels of integrity and the ability to act with due skill, care, diligence and confidentiality;
- Demonstrate an open and co-operative approach with regulators;
- Pay due regard to the interests of our customers and treat them fairly; and
- Dedication to observing proper standards of market conduct.
What's on Offer
This role will provide a terrific opportunity to be involved in key projects across the entire business, along with countless opportunities to further your own professional development.
A comprehensive salary and package will be on offer to align with the successful applicants experience.