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Compliance Officer - EMI - Financial Services

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Due to growth, we are now looking for a Compliance Officer to join our London office. The role is based full time in the office.Compliance OfficerResponsibilities will include, but are not limited to:

  • Onboard customers, carrying out KYC and AML compliance checks in line with the Company’s onboarding policies and procedures.
  • Produce Client based risk assessments
  • Act as a point of escalations for high-risk clients.
  • Ensure Periodic Reviews are conducted on existing clients
  • Carry out daily transaction monitoring and data validation.
  • Investigate and review transactions that have exceeded set thresholds.
  • Deal with ad-hoc queries from the business on routine Compliance matters under reference to members of the Compliance & Risk team.
  • Provide ad hoc assistance to the Compliance team on projects and queries, requests from senior management.
  • Provide ad hoc training sessions with non-compliance staff involved in client case submissions
  • Assist the MLRO and/or deputy MLRO in preparation of reports and case submissions to the Account Opening and/or Risk Committees
  • Contribute to the preparation of the MLRO Annual report to Management.
  • Carry out periodic firm wide risk assessments
  • Carry out periodic GDPR/data protection audits within the firm
Requirements:
  • Proven experience as a Compliance Officer or Senior Compliance Analyst (3-5 years)
  • Experience dealing with High-Risk customers.
  • Knowledge of legal requirements and controls (e.g., EU Money Laundering Directives)
  • Familiarity with industry practices and professional standards
  • Familiarity with FCA Guidance and rule book and relevant publications e.g., JMLSG
  • Excellent communication and organization skills
  • Attention to detail
  • Knowledge of Blockchain/Cryptocurrency field is a plus
  • BSc/BA in law, finance, business administration or a related field
  • Professional certification (e.g., ICA) is a plus

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