Senior Compliance Officer- Banking

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Job Description

Senior Compliance Officer - Banking

Our Client is simply a tiny retail slope based successful Central London.

They are looking to enlistee a Senior Compliance Officer with astatine slightest 5-8 years of acquisition of applicable banking/AML compliance successful established slope / fiscal institutions.

Main Focus oregon role:

To beforehand and negociate the civilization and signifier of regulatory compliance and ethical standards successful the behaviour of Anti-Money Laundering Compliance functions passim the Bank London Branch, and to guarantee AML Compliance relation is successful compliance with those requirements and applicable standards.

To guarantee the effectiveness of AML Compliance function's absorption and regulatory hazard issues done the constitution and attraction of due and effectual model and procedures, compliance and regulatory risks are anticipated, identified, escalated and reported to Head of Compliance, mitigated and managed truthful arsenic to debar immoderate fiscal and reputational loss.

To enactment the Head of Compliance successful the absorption of compliance and regulatory risks, including liaison with the Regulator's Financial Intelligence Authority and immoderate different regulatory and instrumentality enforcement bodies.


Executing assurance investigating via the compliance monitoring program to guarantee some the adherence to the Branch Risk Appetite, and the effectiveness of the systems and controls

           Reviewing and advising connected escalations received from the Anti - Financial Crime Operations team, oregon immoderate different concern squad wrong the London subdivision

           Liaising with 1LOD successful managing SARs process

           Investigating and escalating imaginable ineligible and reputational issues to the Head of Compliance/MLRO and assistance with drafting immoderate referral

           Approving precocious hazard customers, PEPs, adverse media affirmative hits

           Managing disputes oregon complaints regarding fiscal transgression prevention

           Contributing to fiscal transgression reporting obligations, including returns for outer regulatory reporting and MI for interior elder absorption fora

           Perform and oversee remediation activities to guarantee completion connected a timely mode

           To facilitate unit grooming connected compliance and fiscal transgression

           Comply to each Bank London's argumentation & procedures and alignment to Group argumentation & process requirements

Key Skills Required:

A beardown knowing of the UK regulations/rulebooks specifically the PRA, CRD and the FCA Conduct requirements and the quality to construe regulations wrong a Bank

           Knowledge of state and manufacture specifics successful banking

           An quality to enactment proactively, taking inaugural with an quality to enactment some independently and arsenic portion of a squad

           Have beardown connection (both written and verbal), reasoning and influencing skills

           Experience of undertaking compliance monitoring reviews and producing compliance monitoring reports to papers compliance with interior and outer regulations/process

           Strong determination making skills and the quality to marque dependable judgements which align to the Bank's halfway principles

To assistance Head of Compliance.

MLRO to supply proposal and code immoderate compliance and regulatory hazard and governance issues successful narration to AML Compliance function's cognition requirements

To assistance Head of Compliance/MLRO to supply proposal and code immoderate compliance and regulatory risks and governance issues successful narration to AML activities.

To guarantee compliance with laws, regulations and policies successful narration to AML activities.

Bachelor's Degree oregon Master's Degree successful immoderate subject (Accounting/Finance/Business/Economics/Financial Engineering/Law) would beryllium of added advantage

Any certification successful AML oregon Compliance would beryllium disconnected added advantage

The wage for this presumption is £55K - £60K positive Benefits.

The Client is based successful Central London.

Please nonstop your CV to america successful Word format on with your wage and announcement period.