Compliance Officer

Additional Resources; London; On-site; GBP 38,000 - 45,000; Full time

Job summary

An exciting opportunity has arisen for a Compliance Officer to join a regulated financial services provider offering banking solutions. This pivotal role involves compliance oversight and ensuring adherence to financial crime prevention frameworks, making it ideal for someone with a strong background in compliance and financial regulations.

Qualifications

• Experience as a Compliance Officer or in a similar role.
• Practical experience applying compliance regulations within financial institutions.
• Strong knowledge of UK regulatory frameworks.

Responsibilities

• Conducting compliance risk assessments to identify gaps.
• Overseeing adherence to regulatory obligations.
• Preparing findings reports for senior management.

Skills

Compliance regulations

Compliance risk assessment

Communication

Interpersonal skills

Regulatory developments monitoring

Job description

An exciting opportunity has arisen for a Compliance Officer to join a regulated financial services provider offering a range of banking solutions to both private and institutional customers with international connections.

As a Compliance Officer, you will be supporting the second line of defence in compliance oversight and ensuring adherence to financial crime prevention frameworks.

This is a 3-month fixed-term contract (FTC) role with the possibility of extension to 6 months, offering a pro-rata salary of up to £45,000 along with benefits.

You will be responsible for:

• Conducting compliance risk assessments to identify gaps and areas of concern
• Overseeing adherence to regulatory obligations and internal compliance policies
• Delivering independent reviews as part of a Compliance Monitoring Programme
• Preparing findings reports for senior management and relevant governance forums
• Tracking action points from reviews and following up on implementation
• Assisting in managing regulatory communications and updates
• Supporting the development and maintenance of compliance-related trackers
• Advising internal teams on regulatory obligations relating to financial crime prevention
• Reviewing and updating internal policies, procedures, and governance documents
• Supporting regulatory horizon scanning and maintaining the Compliance calendar and regulatory mapping trackers
• Assisting in the preparation of board and committee meeting materials, including background papers and MI
• Providing second-line reviews of compliance-related policies across business and support functions
• Performing administrative tasks related to the Financial Crime Compliance department

What we are looking for:

• Previously worked as a Compliance Officer, Compliance Analyst, Compliance Monitoring Officer, Compliance Manager,Compliance Associate, Financial Crime Officer,Compliance Consultant,Compliance Specialist,Risk and Compliance Officer,Risk and Compliance Analyst,Compliance Risk Officeror in a similar role.
• Practical experience applying compliance regulations within financial institutions
• Clear understanding of compliance-related risks and associated responsibilities
• Strong knowledge of UK regulatory frameworks relevant to financial services
• Ability to monitor and interpret regulatory developments affecting the organisation
• Effective communicator with strong interpersonal skills
• Experience working in a Conduct role under SM&CR is desirable
• Understanding of the FCA's Individual Conduct Rules and how they apply in a regulated environment

This is a great opportunity for a Compliance Officer to join a regulated and dynamic organisation in a pivotal compliance role.

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