Summary: The Compliance Monitoring & Finance Crime Officer role is an 8-month fixed-term contract within a UK Retail Wealth Management organization, focusing on compliance monitoring and financial crime prevention. The position offers a hybrid working arrangement, with the possibility of extension or permanent placement. The officer will work closely with the Head of Compliance, conducting compliance checks and building relationships with internal stakeholders. Previous experience with compliance monitoring systems, particularly LiquidMetrix, and in UK Retail Wealth Management is highly advantageous.

Key Responsibilities:

• Investigate, eliminate, or escalate alerts from the financial crime risk management system.
• Assess and report potential SARs / STORs to the FCA / NCA.
• Conduct regular compliance monitoring and risk assessments across various regulatory categories.
• Perform deep dive thematic monitoring reviews into business activities and risks.
• Undertake risk control self-assessments and recommend remedial actions.
• Monitor trading activities for insider dealing, market manipulation, and best execution.
• Assist in maintaining firm-wide risk policies and review financial promotions.
• Provide compliance advisory and guidance to the business.
• Compile and respond to DSARs and produce compliance management information reports.
• Track regulatory changes and assist with general administration tasks.

Key Skills:

• Experience in compliance monitoring within UK Retail Wealth Management.
• Familiarity with LiquidMetrix or similar compliance monitoring systems.
• Strong analytical and investigative skills.
• Ability to conduct risk assessments and compliance checks.
• Excellent communication and relationship-building skills.
• Knowledge of financial crime regulations and reporting requirements.
• Experience in providing compliance advisory services.
• Proficiency in producing compliance reports and documentation.

Salary (Rate): 70000

City: Manchester

Country: United Kingdom

Working Arrangements: hybrid

IR35 Status: fixed-term

Seniority Level: Mid-Level

Industry: Finance