Compliance Officer- 12 month FTC
- London
- Contract
- Full-time
- Further develop and enhance the enterprise-wide compliance framework and actively monitor and maintain compliance with its regulatory requirements
- Manage the firm's day-to-day approach to compliance with AML requirements, supporting the MLRO
- Providing advice and guidance to Onboarding Compliance Assurance and other functions on onboarding/due diligence matters
- Complete the firm's annual Financial Crime and Tax Evasion Risk Assessment and track remediation of findings.
- 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.
- Manage and enhance the compliance training program
- Work closely and cooperatively with the business
- Assist in developing and enhancing the business in a legally-compliant manner
- Provide support for the business on compliance obligations as necessary.
- Work closely with the compliance team and other teams as necessary, to ensure that policies and processes are aligned
- Good Level experience of working in compliance within Financial Services in a broad regulatory environment
- Knowledge of and practical experience of existing UK compliance requirements is essential, especially around AML and other financial crime obligations.
- Familiarity with other relevant legislation, e.g. MIFID II related, UK MAR, whistleblowing also highly desirable
- Knowledge of UK EMIR is desirable