Compliance Officer

Compliance Professionals; City Of London; On-site; GBP 45,000 - 65,000; Full time

Job summary

A global banking group in London is seeking a Compliance professional to enhance their compliance framework and ensure regulatory adherence. Your role involves providing compliance advisory services, monitoring regulatory changes, and producing reports. Candidates should have experience in a compliance role within banking or asset management, along with relevant qualifications. This position offers the opportunity to work in a dynamic financial environment.

Qualifications

• Experience in the Compliance department of a bank or asset manager is essential.
• Relevant compliance or investment management certificates or diplomas are desirable.

Responsibilities

• Assist with compliance advisory on regulatory issues.
• Monitor compliance through thematic reviews and testing.
• Support regulatory affairs and relationship with regulators.
• Prepare compliance reports and maintain policies.

Skills

Compliance advisory

Regulatory affairs

Monitoring regulatory change

Investigating regulatory breaches

Education

Degree in business/law/sustainability

Job description

THE COMPANY:

Our client is global banking group with offices based in the West End. They offer Corporate banking and Asset management services in the UK market.

THE RESPONSIBILITIES:

• Compliance advisory: assisting with advice on regulatory issues, maintaining compliance framework, training the business in key compliance issues, promoting and measuring high standards of conduct and ethics and an effective compliance culture.
• Compliance monitoring: assisting with ad hoc thematic reviews and control testing, along with maintaining the conflicts of interest, gift & entertainment and complaints registers.
• Regulatory affairs: assisting with identifying and overseeing the implementation of regulatory change impacting the business.
• Assist with managing the relationship with the regulator.
• Support the preparation and submission of regulatory registrations.
• Produce regulatory reports.
• Review compliance policies and procedures against applicable regulatory requirements.
• Assist with ad hoc thematic reviews and control testing.
• Track implementation of recommendations through to completion.
• Assist with monitoring regulatory change (i.e. horizon scanning) impacting the business and its activities.
• Participation in analysing the impact of regulatory change on the firm.
• Provide advice on compliance issues arising in the business, including in relation to any new business initiatives.
• Investigate and remediate regulatory breaches, including notification to the regulators.
• Assisting with the delivery of classroom or remote training to the Business on relevant regulatory topics.
• Providing support for reporting to Board and Executive committees.
• Assisting with preparing and submitting reports to parent.

EXPERIENCE REQUIRED:

• Experience of working in the Compliance department of a Bank or asset manager
• Relevant compliance or investment management certificates or diplomas desirable.
• Educated to degree level or equivalent – preferably a business/law/sustainability related subject.

For further information please contact Hannah Tabatabai