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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