THE COMPANY:
Our client is global corporate banking group with offices based in the West End. They are looking to hire an Interim Compliance Officer to be part of a project to uplift aspects of the financial crime and regulatory compliance framework.
THE RESPONSIBILITIES:
- Updating the product and industry risk assessments.
- Reviewing and updating the counterparty onboarding and periodic review process to align with uplifts made to the customer onboarding process.
- Reviewing and updating the broker onboarding and periodic review process to align with uplifts made to the customer onboarding process.
- Reviewing and updating the business-wide risk assessment.
- Reviewing and updating the bribery and corruption risk assessment.
- Assisting with the preparation of the compliance monitoring plan.
- Liaising with relevant stakeholders for each risk assessment.
- Discussing with the business where actions are required to enhance processes, procedures, practices and controls.
- Identifying and escalating any significant regulatory issues to the Head of Compliance & MLRO.
- Assisting with other elements of the uplift of the financial crime and regulatory compliance frameworks.
- Promoting a strong compliance culture within the Business.
EXPERIENCE REQUIRED:
- The candidate will have gained a mixture of financial crime and regulatory compliance experience (up to 8 years) and will have a solid understanding of regulatory and/or compliance matters.
- Prior experience in a role in a bank or other financial service firm.
- Strong communication skills with the ability to work as part of a small team.
- Ability to build strong and effective working relationships with stakeholders at all levels.
- Must be comfortable working independently and possess sound judgement.
- Confident with strong interpersonal skills.
For further information please contact Hannah Tabatabai
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Interim Compliance Contractor (6 months) employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
