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Financial Service Regularity Advisor

ABM GLOBAL COMPLIANCE
Job LocationCanary Wharf
EducationNot Mentioned
Salary£40,000 - £45,000 per annum, negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

ABM Global Compliance is a specialist financial services compliance firm, whose vast experience of regulatory matters in the financial services sector can help every size of firm, at a strategic level as well as on a day-to-day basis.ABM Global Compliance can assist with all regulatory requirements from FCA Authorisation to Implementation and from consulting to accountancy matters.A rapidly growing FCA regulated Authorised Payment Institution, currently expanding, and broadening its service and scale of operations by going forward with incorporating a new company for its e-money operations. We are looking of Compliance Consultant to lead our team to deliver a best in class, compliant payments service to customers across the globe in an FCA regulated environment:Financial Service Regularity Advisor

  • Leading the Compliance Department to fulfil the client’s requirement as per the Regulatory Guidelines in Specified Time.
  • Develop the AML/KYC policies and procedures for EMI Institutions.
  • Dealing the Regulatory Requirement of EMI Clients.
  • Dealing the Application Process for Authorization of SPI, API and EMI clients.
  • Detailed Knowledge about FCA EMI, API and SPI Application process.
  • Ability to Communicate with Regulator in relation to Application process.
  • Establish key controls & processes to assess & manage Compliance & AML Overseeing and providing advice to senior management and the business on compliance and risk issues as well as regulatory trends
  • Dealing with the Compliance Requirement of FCA Regulated Business Specially EMIs.
  • Developing, maintaining, updating, and implementing Compliance and Risk policies, procedures, manuals, and programmes to reflect best practice and regulatory and industry requirements
  • Provide the business with clear guidance on AML processes & controls & implement policy to adhere to requirements
  • To act as a point of contact for Compliance issues, ensuring that any problems are dealt with appropriately and rectified within agreed SLAs
  • Advice the clients about Compliance Risks within the organisation & work to establish controls.
  • Good knowledge of the FCA Handbook, AML Regulations, Sourcebook (SYSC), EMRs, Joint Money Laundering Steering Group (JMLSG) Guidance and other relevant financial crime legislation, including the Anti-Corruption and Bribery Act
  • Ensure the firms Financial Crime/Money Laundering procedures are always kept up to date and staff notified of changes
  • Communicate with clients and address any concerns they have about ethical or other compliance matters within a department or division
  • Investigate irregularities and non-compliance issues in the company and advise accordingly for swift action
  • Reporting Bridge between the Compliance team in providing regulatory, compliance and AML/financial crime updates and reports to Top management and governing bodies of group companies, both periodically and on a one-off basis.
    • Person Specification:
  • Must have detailed knowledge of FCA Regulations, FCA Handbooks, FCA Authorization procedures for EMIs and APIs,
  • Efficient in FCA correspondences
  • Have good knowledge of payments sector and regulatory compliance
  • Good understanding of Prudential rules
  • Minimum 5 years of industry experience in FCA Application processing and Processes.
  • Candidate Preferably be an ACCA qualified professional along with Qualification in Compliance like ICA and ACAMS.
  • Excellent communication skills, both written and verbal
  • Excellent reporting skills
  • Good organisational skills
  • Confident approach with proactive attitude
  • Strong knowledge of working with Microsoft applications, especially Microsoft Word and Excel
  • Must have experience of working on deadline-oriented projects with minimal supervision
  • Must be able to work with minimal supervision
  • Ability to manage all the assigned tasks in an efficient and timely manner

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