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- Tasks: Monitor compliance activities and ensure adherence to regulations in a dynamic banking environment.
- Company: Join a subsidiary of an international bank with a strong focus on compliance.
- Benefits: Gain valuable experience in compliance, with opportunities for professional growth.
- Why this job: Make a real impact by ensuring regulatory compliance and supporting the business's integrity.
- Qualifications: Three years of compliance experience and knowledge of FCA regulations required.
- Other info: Collaborative team environment with opportunities to develop relationships across the organisation.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is a subsidiary of an international bank, providing capital market and securities trading services. This role will report to the Head of Compliance & MLRO.
THE RESPONSIBILITIES:
- Undertake activities of the Compliance Monitoring Programme – not limited to transaction monitoring, personal account dealing, gifts log.
- Conduct communications monitoring (voice and electronic), ensuring compliance with the Firm’s policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
- Support of Companies House filings.
- Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
- Support the Senior Compliance Officer with the preparation of management information.
- Preparation of SMF and Certified applications, & records kept regarding those individuals.
- Ensure all regulatory communications are recorded accurately.
- Taking ownership of tasks and processes within the Compliance department, ensuring that tasks are undertaken in a professional manner, to high standards and delivered within the agreed timeframes.
- Tracking agreed remedial actions through to conclusion.
- Understanding policies and procedures applicable to own role.
- Advising the business with respect to adherence to the Firm’s Compliance policies and procedures.
- Developing and maintaining a broad knowledge of the Firm’s business and regulatory framework in which it operates.
- Developing knowledge of compliance monitoring requirements, under the guidance and supervision of the Compliance Management, to monitor both internal broker and external clients’ activity.
- Developing good working relationships with traders, operations, and Senior Management, fostering a good other duty as assigned by Compliance Management.
- Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
EXPERIENCE REQUIRED:
- At least three years experience in General compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR.
- Knowledge of the FCA Handbook.
- Experience within an international banking environment/broker, or similar.
- Good IT skills.
For further information please contact Hannah Tabatabai.
Compliance Officer (1 year FTC) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (1 year FTC)
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work in banking or finance. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and compliance monitoring. We recommend creating a cheat sheet of key points to discuss, so you can impress the hiring managers with your expertise.
✨Tip Number 3
Showcase your experience with KYC/CDD requirements during interviews. Share specific examples of how you've successfully navigated compliance challenges in the past. This will demonstrate your hands-on experience and problem-solving skills.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Officer (1 year FTC)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your experience in compliance monitoring, regulatory reporting, and KYC. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background fits with our company. Keep it concise but impactful – we love a good story!
Showcase Relevant Experience: When detailing your experience, focus on specific examples that demonstrate your knowledge of the FCA Handbook and your ability to handle compliance tasks. We appreciate candidates who can show us their hands-on experience!
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it makes the process smoother for everyone involved!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the FCA Handbook and compliance monitoring requirements. Be ready to discuss how your experience aligns with the responsibilities listed in the job description, especially around transaction monitoring and regulatory reporting.
✨Showcase Your Attention to Detail
As a Compliance Officer, attention to detail is crucial. Prepare examples from your past roles where you successfully managed compliance tasks or identified issues. Highlight how you ensured accuracy in regulatory communications and filings.
✨Build Rapport with Stakeholders
Demonstrate your ability to develop good working relationships with traders and senior management. Think of instances where you collaborated effectively with different teams to foster compliance within the organisation.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Practice articulating how you would handle specific compliance challenges, such as escalating concerns or tracking remedial actions.
