FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Monitoring Officer - Retail Banking - £40k

This is an exciting role at a global retail bank, a small UK office with an inclusive culture. Looking for an individual with compliance monitoring background who wants a career move where they can get involved in everything. Essential experience required is compliance monitoring.

JOB TEXT

Role Overview:

This is an exciting role at a global retail bank, a small UK office with an inclusive culture. Looking for an individual with compliance monitoring background who wants a career move where they can get involved in everything. Essential experience required is compliance monitoring.

Key Responsibilities:

* Delivery of the annual compliance monitoring programme
* Carrying out compliance monitoring programme and report results of testing
* Review, maintain and update policies and procedures
* Advising, supporting and executing activities such (KYC / Client Take On / Bribery), Treating Customers Fairly (COBS)
* Completion of due diligence reviews of new customers and periodic reviews of existing customers.
* Investigating daily alerts and timely allocation to concerned staff and reviewing branch response before closing alerts.
* Investigate and prepare disclosure reports to the NCA promptly when required to do so.
* Remain up to date with regulatory developments and assess impact on the business.
* Perform effective monitoring of transactions to highlight those require further investigation and escalation.
* Assist in the completion and submission of regulatory returns in accordance with the specified timescale.
* Assist in maintaining and promoting compliance culture appropriate to meeting regulatory requirements.
* All other ad hoc work related to AML and Compliance as allocated by the head of compliance.

Skills & Experience:

* In depth understanding of UK financial services regulation
* Experience in delivering reports and findings through CMP.
* Knowledge and experience of implementing compliance monitoring programme within retail banking environment.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
FIND US ON LINKEDIN, TWITTER & INSTAGRAM
  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2018-07-12
London, England, United Kingdom London England GB