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Compliance Officer

Employer
MW recruitment
Location
London
Salary
70000.00 - 75000.00 GBP Annual
Closing date
31 Jan 2022

View more

Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance

A well established Fintech business wish to recruit a senior compliance officer, the successful candidate will play a major role in ensuring that policies used by the business are followed/adhered to by all colleagues and updated on a regular basis.

Main Duties

Conducting and overseeing internal reviews or audits periodically to ensure that compliance procedures are followed.

Overseeing policies such as Employee Code of Conduct/Business Ethics/Anti money Laundering.

Overseeing all mandatory training and coordinating teams for internal audits/projects.

Conducting or directing the internal investigation of compliance issues.

Informing, educating, and training employees on matters that are associated with regulations and industry practices.

Evaluating business activities such as investments, to evaluate or assess compliance risk.

Coming up with effective plans to manage a crisis or compliance violation.

Preparing appropriate compliance reports with regulatory agencies.

Ensuring and verifying that all regulatory policies and procedures have been documented, implemented, and communicated.

Experience Required

Demonstrable experience as a senior compliance specialist within a scaling, technical

business. A regulated environment would be preferable.

A good understanding of UK compliance regulations and dynamics.

Ability to lead multi-functional teams through audits/compliance challenges.

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