Officer - Compliance and Financial Crime

City of London, London
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

We are looking for Officer - Compliance and Financial Crime for one of our Clients to join their growing team in their main branch in Central London.

Our client is an International bank and financial services company.


The Compliance Assistant Manager assists the Compliance team in the effective day to day delivery of compliance and Financial Crime advice to the business and the efficiency of the firm’s compliance related processes. S/he will be a key point of contact for the function and will provide technical knowledge and experience to both team colleagues and to the business.

Resposiblities :

The Compliance Assistant Manager helps to ensure that the firm:

• Understands the context of a compliance and Financial Crime environment that all UK based financial institutions face;
• Recognises the regulatory risks and mitigating actions that banks face, such as from relevant legislation, the PRA and FCA Handbooks, and appropriate industry guidance; and recognise the Bank specific context and regulatory risks that the Bank faces;
• Considers how these regulatory risks are currently controlled and makes recommendations for an appropriate control regime;
• Helps ensures that all relevant regulatory risks are considered using a risk based methodology;
• Helps to execute the compliance monitoring programme by conducting compliance monitoring reviews;
• Conduct daily monitoring for sanctions/PEPs/Adverse Media alerts;
• Helps to ensure that all required policies and procedures are fit for purpose;
• Assists the Compliance and Financial Crime Team to embed the principles of soundness and safety, and of good consumer outcomes, within the Bank in order to demonstrate that the Bank can continue to meet its Threshold Conditions;
• Advises the business to enable it to demonstrate, on an on-going basis, that it can meet its Treating Customers Fairly objectives;
• Develop effective day to day working relationships with the Bank’s key stakeholders;
• Helps provide alternative manual and technological solutions to the effective remediation of the firm’s customers from a CDD perspective;
• Helps the Compliance and Financial Crime Team develop an appropriate suite of key compliance performance / risk indicators suitable for various stakeholders;
• Ensures that all staff are aware, by means of tailored face to face training and otherwise, of their corporate and personal regulatory obligations.


The ideal candidate will have the following skills, qualifications and experience:

• Degree educated (in a finance, legal or business-related subject);
• Experience of working in a compliance or Financial Crime role in a UK bank, a professional services firm, a regulator, law enforcement agency, or a law firm;
• Good understanding of the financial services and banking sectors;
• A good knowledge of applicable UK and EU financial services legislation;
• Experience of developing and implementing compliance and Financial Crime policies and procedures;
• Forward looking pragmatic approach to solving regulatory and business issues;
• Strong attention to detail;
• Effective interpersonal skills.

If you feel you are suitable for the role, 'Apply' immediately.