Compliance Officer

Job type:
Start date:
6 months
Published at:
flag_no United Kingdom
Project ID:

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London - 6 Month contract

A leading financial service is currently seeking to recruit a compliance officer to work as part of the governance and compliance department

The successful candidate will have a solid background in compliance, audit and/or finance within a financial services organisation and have a thorough understanding of banking regulations and legislation. This is a great opportunity for someone who is looking for a step into the compliance and further their career within the field

Key Skills of a Compliance Officer -

  • Concise and effective communication skills, written and verbal.
  • Sound knowledge and understanding of Corporate Governance, Board and Committee structures
  • Ability to influence and manage senior stakeholders.
  • Previous experience of working within a controlled and financial regulated organisation.
  • Solutions focussed and able to problem solve.
  • Meticulous attention to detail and ability to extract key information relatable to the task at hand.
  • Experience of the Microsoft Office suite, PowerPoint, Excel, Word, etc.

Responsibilities of a Compliance Officer-

  • Provide guidance and advice on the design and implementation of the regional/legal entity governance framework, helping to ensure that these remain effective. This will include participation in relevant Governance related meetings
  • Undertake initial suitability assessment for all new approved persons
  • Undertake suitability assessment required under the initial Certificate Regime process pre March 2017
  • Assist in the Banks obligations under the Senior Managers and Certificate Regime obligations
  • Maintain Controls Schedule for Compliance and MLRO
  • Continue to support the bank in the enhancement of the governance framework
  • All applications and/or notifications to the UK regulators required under the Senior Managers Regime and/or Approved Persons Regime
  • Maintenance of the EMEA Governance Population Register
  • Compliance contract and user/tester for the new Governance and Compliance Data Base
  • Where required providing holiday relief in the delivery of regular reports (non-financial) to the UK regulators.
  • Participating in the delivery of Compliance related training.
  • Contribute to the timely production and maintenance of relevant Compliance policies and procedures.

If you wish to apply for the above position, please call me

Please be advised if you haven't heard from us within 24 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly. Adecco is an employment consultancy and operates as an equal opportunities employer