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- Tasks: Monitor transactions, conduct compliance reviews, and support regulatory risk management.
- Company: Join a leading bank in Central London focused on ethical standards and regulatory compliance.
- Benefits: Enjoy a competitive salary of £45K - £50K plus additional benefits.
- Why this job: Be part of a dynamic team shaping compliance culture and making a real impact in finance.
- Qualifications: Bachelor's or Master's degree preferred; 2-3 years of banking compliance experience required.
- Other info: Ideal for those passionate about financial crime prevention and regulatory compliance.
The predicted salary is between 45000 - 50000 £ per year.
Compliance Officer – Bank
Our Client is looking to recruit a Compliance Officer with at least 3 years experience of working within Compliance from the banking industry.
- To promote and manage the culture and practice of regulatory compliance and ethical standards conduct across London Bank Branch
- To ensure the effectiveness of the Financial Crime Prevention framework with particular emphasis on AML/CTF and Sanctions Compliance
- To be a SME for regulatory compliance and Financial crime matters to the London Bank Branch staff
- To support the Head of Compliance in the management of compliance and regulatory risks, including liaison with the Regulator’s Financial Intelligence Authority and any other regulatory and law enforcement bodies.
Responsibilities
- Perform on going transaction monitoring, on higher risk rated clients at an agreed frequency, as and when required
- To escalate suspicious or ambiguous transactions to supervisor/Manager or Head of Compliance for a review or decision
- Perform Compliance Review on respective business units on periodic basis, as per Compliance Review plan endorsed by Senior Management team
- Perform Control Effective Testing (CET) on selected key business areas, especially areas that poses higher risk in Compliance and/or AML
- Ensure all control gaps are identified and addressed, closed to mitigate any potential risks.
- Assist Head of Compliance with Compliance/Anti-Money Laundering advisory to business team, when required
- Identify potential AML & Compliance process or policy improvements and communicate findings and recommendation to quality assurance management team
- Provide guidance and training, where required on areas of improvement
- Perform on going validation of monitoring strategies to ensure appropriate AML and Compliance governance and control
- Conduct timely follow up on pending outstanding issues to ensure proper resolution and issue closure
Draft, validate and submit reports to regulators on FinCrime and Compliance matters
Bachelor’s Degree or Master’s Degree in any discipline (Accounting/Finance/Business/Economics/Financial Engineering/Law) would be of added advantage
Certification in AML/FCC or Compliance
2-3 years of experience of relevant banking/AML compliance in established bank / financial institutions
Technical/Functional skills
- In-depth knowledge of AML compliance function, including the related/applicable rules and regulations
- The required understanding of the business/business units and it’s operations.
- Advance knowledge of MS Office especially MS Excel, MS Powerpoint etc.
Personal skills (Soft Competencies (Core/Leadership))
- Personal integrity and ethics.
- Good judgment in enabling the provision of sound advice on regulation and practice, proactive management of compliance and regulatory risks.
- Good presentation and influencing skills, required in guiding and assisting teams in putting forward proposals for clients, whenever necessary.
- Effective managerial skill as a point of reference for the subordinates.
The salary for this position is £45K – £50K plus Benefits.
The Client is based in Central London.
Please send your CV to us in Word format along with your salary and notice period.
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Compliance Officer employer: Jas Gujral
Contact Detail:
Jas Gujral Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Network with professionals in the banking and compliance sectors. Attend industry events, webinars, or local meetups to connect with people who can provide insights into the role and potentially refer you to opportunities at StudySmarter.
✨Tip Number 2
Stay updated on the latest AML/CTF regulations and compliance trends. Follow relevant news sources and join online forums to discuss these topics, which will help you demonstrate your knowledge during interviews.
✨Tip Number 3
Prepare for potential interview questions by practising your responses to common compliance scenarios. Think about how you would handle specific situations related to financial crime prevention and regulatory compliance.
✨Tip Number 4
Showcase your soft skills, such as integrity and good judgment, during interviews. Be ready to provide examples of how you've effectively managed compliance risks or influenced teams in previous roles.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within the banking sector. Emphasise your knowledge of AML/CTF regulations and any specific achievements that demonstrate your expertise.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying to this role. Discuss how your skills align with the responsibilities mentioned in the job description, such as transaction monitoring and compliance reviews.
Highlight Relevant Certifications: If you have certifications in AML/FCC or Compliance, make sure to mention them prominently in your application. This will show your commitment to the field and enhance your credibility as a candidate.
Showcase Soft Skills: In your application, don't forget to highlight your personal integrity, good judgment, and presentation skills. These soft competencies are crucial for a Compliance Officer and should be evident in your CV and cover letter.
How to prepare for a job interview at Jas Gujral
✨Know Your Compliance Regulations
Make sure you have a solid understanding of AML, CTF, and sanctions compliance regulations. Be prepared to discuss how these regulations apply to the banking industry and provide examples of how you've navigated compliance challenges in your previous roles.
✨Demonstrate Your Analytical Skills
As a Compliance Officer, you'll need to analyse transactions and identify suspicious activities. Be ready to share specific instances where you've successfully monitored transactions or conducted compliance reviews, highlighting your analytical approach and decision-making process.
✨Showcase Your Communication Skills
Effective communication is key in compliance roles. Prepare to discuss how you've trained teams or communicated complex compliance issues to non-compliance staff. Use examples that demonstrate your ability to influence and guide others in compliance matters.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your judgement and problem-solving skills. Think about potential compliance dilemmas you might face and how you would handle them, ensuring you convey your integrity and ethical standards throughout your responses.
