Compliance Generalist (12 month FTC)
Posted Today by Compliance Professionals
£55,000 Per year
Undetermined
Undetermined
Greater London, England, United Kingdom
Summary: The Compliance Generalist role involves supporting compliance monitoring activities within a subsidiary of an international bank, focusing on transaction monitoring, regulatory reporting, and adherence to compliance policies. The position requires collaboration with various departments to ensure timely and accurate compliance with FCA regulations. The role also includes preparing management information and maintaining regulatory communications. Candidates should have a strong background in compliance and AML, particularly within an international banking environment.
Key Responsibilities:
- Undertake activities of the Compliance Monitoring Programme, including transaction monitoring and communications monitoring.
- Support Companies House filings and ensure FCA regulatory data returns are filed accurately and timely.
- Assist in the preparation of management information and maintain records for SMF and Certified applications.
- Ensure accurate recording of all regulatory communications and track remedial actions to conclusion.
- Advise the business on adherence to compliance policies and develop knowledge of compliance monitoring requirements.
- Foster good working relationships with traders, operations, and Senior Management.
- Support onboarding and ongoing KYC/CDD requirements for new counterparties.
Key Skills:
- At least three years of experience in general compliance and AML.
- Knowledge of compliance monitoring, regulatory reporting, and the FCA Handbook.
- Experience in an international banking environment or similar.
- Good IT skills.
Salary (Rate): £55,000.00 yearly
City: Greater London
Country: United Kingdom
Working Arrangements: undetermined
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
THE COMPANY: Our client is a subsidiary of an international bank, providing capital market and securities trading services.
THE RESPONSIBILITIES: Undertake activities of the Compliance Monitoring Programme – not limited to transaction monitoring, personal account dealing, gifts log, Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm’s policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management. Support of Companies House filings Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner. Support the Senior Compliance Officer with the preparation of management information. Preparation of SMF and Certified applications, & records kept regarding those individuals. Ensure all regulatory communications are recorded accurately. Taking ownership of tasks and processes within the Compliance department, ensuring that tasks are undertaken in a professional manner, to high standards and delivered within the agreed timeframes. Tracking agreed remedial actions through to conclusion. Understanding policies and procedures applicable to own role. Advising the business with respect to adherence to the Firm’s Compliance policies and procedures Developing and maintaining a broad knowledge of the Firm's business and regulatory framework in which it operates. Developing knowledge of compliance monitoring requirements, under the guidance and supervision of the Compliance Management, to monitor both internal broker and external clients’ activity. Developing good working relationships with traders, operations, and Senior Management, fostering a good other duty as assigned by Compliance Management. Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
EXPERIENCE REQUIRED: At least three years experience in General compliance and AML, including compliance monitoring, central compliance, PA dealing, Survellance, regulatory reporting, and SMCR Knowledge of the FCA Handbook Experience within an international banking environment/broker, or similar. Good IT skills For further information please contact Hannah Tabatabai