Compliance Officer
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| Job Type | Permanent Full Time |
| Location | London |
| Area | Greater London, UK |
| Sector | Financial Services Accounting & Finance |
| Start Date | ASAP |
| Advertiser | Lee OBrien |
| Telephone | 01372818299 |
| Job Ref | LO 11320 |
- Description
- Compliance Officer
Lloyd Recruitment Services are delighted to be recruiting on behalf of a specialist finance provider that seek an experienced Compliance Officer to join their Compliance & Risk team.
The client is offering a competitive salary and benefits package including pension, life insurance, private medical insurance (Bupa), 25 days holiday and up to 10% bonus potential.
This wide-reaching role offers the opportunity to engage in all aspects of the firm’s Compliance and Operational Risk activities, carrying out regular compliance tasks and ensuring that appropriate records are kept and maintained. The workload is diverse, and you will also be expected to complete written reports and ad hoc project work. This is a great opportunity for someone who is looking for a diverse role working within a small Governance team.
You will work alongside the Head of Governance assessing the effectiveness of policies and procedures and associated controls designed to mitigate risk, reporting of relevant MI, and supporting with financial crime queries.
You will be expected to remain up to date with regulatory developments and assess the impact these have on the business.
Key Responsibilities
Ensure the business achieves and maintains compliance with current and future FCA requirements.
Develop and maintain compliance policies and training material, ensuring both are up to date with current regulations.
Monitor, analyse, and interpret new FCA rules and regulations, identify and address any gaps between existing processes and new regulatory requirements.
Conduct thematic file checks and report findings into Risk & Governance meetings.
Review and audit marketing, policy, and external literature in line with FCA requirements.
Administer the Company's register of policies and procedures, providing timely reminders to policy owners of the need to update documentation.
Assist the Head of Governance in submitting FCA returns.
Maintain the Enterprise Risk Management System, ensuring risks and controls are reviewed regularly by the respective owners. Ensure a monthly review is conducted of all risk incidents and prepare MI to submit into the Risk & Governance Meeting.
Assist the Head of Governance in the preparation and submission of MI and other ad hoc tasksto the Fraud Committee, Risk & Governance Committee, and external parties.
Conduct investigations into potential financial crime cases, Politically Exposed Persons (PEPs), high risk customers, adverse media screening, transaction monitoring and fraud alerts.
Develop, enhance, and communicate the Company’s standards and frameworks for mitigating financial crime risks, including providing advice, guidance, and updates on the application of financial crime policy and best practice.
Manage annual conflict of interest process including issuing the annual questionnaire, analysis of responses and submitting a report into the Board and Risk & Governance.
Attend industry forums on related topics.
Assist the Head of Governance with Subject Access Requests including gathering and analysis of data
Develop and maintain robust relationships with key stakeholders.
The Successful Applicant
A team player with a solution orientated and positive attitude.
A strong customer focus and drive to support business objectives.
Proven analytical and written presentation skills.
A strong awareness of Conduct Risk.
A strong understanding of Risks and Controls.
Experience within the financial services sector and an understanding of AML policies and procedures (including sanctions, bribery and corruption).
Some Financial Crime, KYC and CDD subject matter knowledge is expected.
Understanding of the UK asset finance sector.
Knowledge of FCA regulations.
Behavioural Capabilities
Strong organisational and planning skills.
Ability to prioritise and manage time effectively.
High level of professionalism, reliable, positive.
Flexible, commercial, and solution-driven in approach.
Innovative approach and prepared to challenge traditional processes.
Prepared to take ownership and drive improvements.
NB:Unfortunately, due to the high level of applications received by Lloyd Recruitment Services, we are only able to contact shortlisted candidates.
