Compliance Officer
Compliance Officer City of LondonHybrid - 3 per week in the office Permanent £75,000 cer Financial are working alongside a bank who are based in the City of London. They are seeking a Compliance Officer to work with them on a permanent basis.The responsibilities of the Compliance Officer will include:Maintain and embed the Compliance Risk Management Framework across the business.Deliver monitoring and testing under the Compliance Monitoring Plan (CMP), including reviews of derivatives and complex products, and escalate findings.Promote and oversee compliance with FCA and PRA requirements, fostering a strong compliance culture.Design and deliver compliance training (e.g. derivatives, market conduct, regulatory updates).Produce, enhance, and report meaningful compliance management information (MI).Ensure timely resolution of compliance issues and continuous improvement of reporting.Review and update compliance policies in line with regulatory changes, maintaining accurate records (e.g. Riskonnect).Strengthen controls in key regulatory areas (e.g. client money, safeguarding, AML, derivatives trading).Manage SMF/Certified registrations, Directory Persons, and regulatory attestations (including annual Fit and Proper).Review and approve financial promotions and client communications.Provide regulatory advice on new products/services and support regulatory reporting and information requests.Monitor regulatory developments (e.g. EMIR, MiFID II, SMCR, AMLD) and support implementation. ..... full job details .....
Other jobs of interest...
Perform a fresh search...
-
Create your ideal job search criteria by
completing our quick and simple form and
receive daily job alerts tailored to you!