AVP Compliance Officer - Financial Services

2021-11-19 08:30:022022-07-03 Elite Audit
Job Type Permanent Full Time
Location London
Area Central London, UK Central London UK London
Sector Compliance
Salary up to £70,000 + Bonus+ Bens
Start Date asap
Advertiser Rachael Terry
Telephone 07855328980
Job Ref EA2021234
Specialism Financial Services
AVP- Compliance Officer  c £70,000 + Bonus + Bens
Hybrid working
Financial Services, London
Elite Audit Recruitment is seeking a talented AVP Compliance Officer for a medium sized financial services organisation in London with flexible/hybrid conditions.
It is essential that this person has good hands- on compliance monitoring/ testing and controls experience ideally having acted as a number two in the department at AVP level. Ideally, the preferred candidate will come from a commodities, clearing house or an exchange company background. 

The main purpose of the role is to maintain the compliance program, with particular emphasis on monitoring, compliance testing and policy development for the Group reporting into the Head of Regulatory Compliance.
Responsibilities :
  • -Further develop and enhance the enterprise-wide compliance framework and actively monitor and maintain the organisation’s compliance with its regulatory requirements
  • Manage the Group’s day-to-day approach to compliance with AML requirements, supporting the MLROs and providing advice and guidance to Market Access and other functions with on boarding/due diligence matters, including through review of processes and procedures and focussed training.
  • Complete the Group’s annual Financial Crime and Tax Evasion Risk Assessment and remediation of findings.
  • Operate the formal program of internal compliance testing to ensure adherence to compliance requirements and undertake the testing as required.
  • Ensure that potential issues identified through compliance testing are investigated and reported, with mitigation plans put in place for timely resolution.
  • Manage the Group’s “all staff” training and communication program, maintaining a dynamic approach to the adoption of new styles/content as regulatory expectations change.
  • Ensure the consistency of the Group’s compliance programme with Group compliance policies and procedures
  • Formulate, deliver and review the Group’s  compliance policies in accordance with regulatory and legal obligations
  • Work closely and cooperatively with the business, to ensure that all business, operational and technology areas of the Group have a clear understanding and ownership of their compliance obligations
  • Assist in developing and enhancing the business in a legally-compliant manner
  • Provide support for the business on compliance obligations as necessary
  • Good Level experience of working in compliance within Financial Services
  • Knowledge of and practical experience of existing UK compliance requirements is essential, especially around testing of controls and procedures.
  • Knowledge of and familiarity with other relevant legislation, e.g. money laundering, anti-bribery, whistleblowing is essential
Required Skills:
  • Practical and methodical with an analytical mind-set
  • Excellent communication (including written communication) and interpersonal skills
  • Ability to identify and implement improvements in the department’s processes
  • Ability to tailor messaging to different audiences at all levels of seniority
  • Ability to interpret and solve complex problems
  • Ability to work independently or collaboratively in a team and to be able to prioritize work and to manage expectations
Please respond with your CV to Rachael Terry at Elite Audit recruitment for more information.
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