Compliance Officer; FTC

THE COMPANY:

Our client is a subsidiary of an international bank, providing capital market and securities trading services. This role will report to the Head of Compliance & MLRO.

• Undertake activities of the Compliance Monitoring Programme – not limited to transaction monitoring, personal account dealing, gifts log,
• Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm’s policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
• Support of Companies House filings
• Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
• Support the Senior Compliance Officer with the preparation of management information.
• Preparation of SMF and Certified applications, & records kept regarding those individuals.
• Ensure all regulatory communications are recorded accurately.
• Taking ownership of tasks and processes within the Compliance department, ensuring that tasks are undertaken in a professional manner, to high standards and delivered within the agreed time frames.
• Tracking agreed remedial actions through to conclusion.
• Understanding policies and procedures applicable to own role.
• Advising the business with respect to adherence to the Firm’s Compliance policies and procedures
• Developing and maintaining a broad knowledge of the Firm’s business and regulatory framework in which it operates.
• Developing knowledge of compliance monitoring requirements, under the guidance and supervision of the Compliance Management, to monitor both internal broker and external clients’ activity.
• Developing good working relationships with traders, operations, and Senior Management, fostering a good other duty as assigned by Compliance Management.
• Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counter parties.

• At least three years experience in General compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR
• Knowledge of the FCA Handbook
• Experience with in an international banking environment/broker, or similar.
• Good IT skills

For further information please contact Hannah Tabatabai