Compliance Officer

The Curve Group
Cardiff (Caerdydd)
10 Mar 2018
14 Mar 2018
Contract Type
Full Time

Compliance Officer


The Job in Brief:

The compliance officer will be responsible for conducting UK based Sanctions and PEP screening and other QRC processes as required as well as ensuring:

  • They are executed in line with procedures
  • Exceptions are escalated appropriately
  • Audit trails are maintained
  • MI and trend analysis are generated

One of the world's leading providers of insurance, reinsurance and employee benefits related advice, brokerage and associated services. Our client proposition is built upon our deep specialist knowledge, client advocacy, tailored advice and service excellence. Together, we place our clients first, champion independent thinking and expect to be judged on the results we deliver.

The Group has been listed on the London Stock Exchange since October 1987 and today has a market capitalisation of over £2.5bn. The business has been very successful and has grown substantially over recent years with employee numbers increasing from 5,000 to over 11,000 over the last 5 years. Today the business has offices across 41 territories.

About the Job and skills required:

  • You will be responsible for conducting UK based Sanctions and PEP screening linked to an important UK based client, which includes inter alia:
    • Adding new cases (individually or in batches) to the sanctions and PEP screening tool.
    • Investigating any resulting possible matches or new 'overnight' matches to sanctions or PEP lists (including adverse media) and either resolving satisfactorily or escalating them to within QRC.
    • Acting as the first point of reference for the business regarding red flag transaction reporting, ensuring these are logged, investigated and escalated if necessary.
    • Maintaining financial crime MI to demonstrate SLA compliance and enable oversight and governance.
  • Supporting the offshore screening team as first reference point for sanction and PEP queries they generate.
  • First reference point for electronic customer due diligence fails resulting from sanctions, PEP, address, DOB or mortality failures
  • Logging Gift and Entertainment Notifications
  • Ensuring ICO registrations for the business are up-to-date
  • General compliance admin as required

Additional Details:

We offer highly attractive reward packages. We are aware of how integral our employees are to our progress, so we ensure that everyone shares in that success. Whilst this varies from company to company within the business, typical benefits can include:

  • Employee share schemes
  • Flexible Benefit Scheme (called Choices)
  • Generous holiday entitlement
  • Pension Plan
  • Private healthcare scheme

We aim to be an equal opportunities employer and we would like to encourage applications from all the community, irrespective of race, religion, gender, disability, age or sexual orientation.

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