Compliance Officer

Page Personnel Finance
Richmond, UK
16 Sep 2019
22 Sep 2019
Contract Type
Full Time
Compliance officer role within a global investment bank is on offer.

Rare opportunity to develop your career in compliance within the financial services sector.

Client Details

The group's expertise ranges from corporate and investment banking to private banking, asset management, and securities services, as well as specialised financial services including vehicle and equipment finance.

  • Attend departmental team meetings discussing & raising awareness of compliance topics including TCF & Fraud awareness
  • Coordinating projects that relate to new regulatory rules
  • Update & write internal compliance policies & procedures and take full responsibility for these areas as allocated by the Head of Compliance
  • Carry out quarterly permanent supervision controls/checks.
  • FCA Monitoring responsibilities such as helping to meet the FCA's principle of TCF monitor customer feedback through returned customer surveys. Investigate any negative feedback and collate quarterly reports for the board.
  • Compliance monitoring roles such as raising the agenda for the fortnightly compliance forum and minute taking of the meeting.

  • Excellent verbal and written communication skills
  • SMCR knowledge is desirable.
  • Excellent interpersonal skills
  • Methodical and has attention to detail
  • Good time management and organisational skills
  • Focused on providing excellent service to internal customers
  • Ability to work under pressure and use own initiative
  • Ability to identify and put forward new ideas for improvements
  • A strong team player
  • Pro-active and willing to be flexible in work required
  • Conscientious and open to suggestions/ideas
  • Willingness to learn
  • Act with integrity at all times and embrace the philosophy of treating customers fairly
  • Embrace the values of the group leadership model

Job Offer

£30,000 salary

10% annual bonus

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