At a Glance
- 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 and integrity.
- Benefits: Competitive salary, professional development opportunities, and a supportive team culture.
- Other info: Collaborative environment with opportunities for career advancement.
- Why this job: Make a real impact in the financial sector while developing your compliance expertise.
- Qualifications: 3+ years in compliance and AML, with knowledge of FCA regulations.
The predicted salary is between 40000 - 50000 £ per year.
THE COMPANY: Our client is a subsidiary of an international bank, providing capital market and securities trading services.
THE RESPONSIBILITIES:
- Undertake activities of the Compliance Monitoring Programme – not limited to transaction monitoring, personal account dealing, gifts log, conducting 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 and AML, including compliance monitoring, central compliance, PA dealing, surveillance, regulatory reporting, and SMCR.
- Knowledge of the FCA Handbook.
- Experience within an international banking environment/broker, or similar.
- Good IT skills.
Compliance Officer – Generalist (1 year FTC) employer: Compliance Professionals
As a subsidiary of an international bank, our client offers a dynamic work environment that prioritises compliance excellence and professional growth. Employees benefit from a collaborative culture that encourages knowledge sharing and development, alongside competitive remuneration and comprehensive support for career advancement. Located in a vibrant financial hub, this role provides unique exposure to capital markets and securities trading, making it an ideal opportunity for those seeking meaningful and rewarding employment in the compliance sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer – Generalist (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 requirements. We want you to be ready to impress with your understanding of the regulatory landscape!
✨Tip Number 3
Showcase your experience with compliance monitoring and AML during interviews. Use specific examples from your past roles to demonstrate how you've tackled challenges and contributed to compliance success.
✨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 – Generalist (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 any relevant skills that match the job description. We want to see how you fit into our world!
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 makes you the perfect fit for us. Don’t forget to mention your knowledge of the FCA Handbook and any relevant banking experience.
Showcase Your Attention to Detail:In compliance, attention to detail is key. Make sure your application is free from typos and errors. We appreciate candidates who take the time to present their work professionally, so double-check everything before hitting send!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy!
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance monitoring and the FCA Handbook. Be ready to discuss specific examples from your past experience that demonstrate your understanding of these areas. This will show that you’re not just familiar with the terms, but you can apply them in real-world scenarios.
✨Showcase Your Attention to Detail
As a Compliance Officer, attention to detail is crucial. Prepare to share instances where your meticulous nature helped identify issues or improve processes. Highlight how you track remedial actions and ensure tasks are completed to high standards, as this will resonate well with the interviewers.
✨Build Rapport with Stakeholders
Since you'll be working closely with traders and senior management, it’s important to demonstrate your ability to build relationships. Think of examples where you successfully collaborated with different teams or departments, and be ready to discuss how you foster good working relationships.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Practice articulating your thought process when faced with compliance dilemmas, and how you would escalate issues appropriately. This will showcase your critical thinking and decision-making abilities.
