Senior Compliance Officer – Financial Services

Senior Compliance Officer – Financial Services – Standalone Role – Immediate Start Available – Competitive Salary – Remote Working (England)

Our client, a successful and growing FCA-regulated financial services organisation, is looking for a senior, standalone Compliance Officer to manage and further strengthen their UK compliance framework and ensure continued adherence to all applicable regulatory requirements, particularly FCA regulations.

As an experienced Compliance Officer, you will act as a trusted advisor to the business and will play a critical role in shaping the firm’s regulatory strategy, embedding a strong compliance culture and supporting sustainable commercial growth within a highly regulated environment.

This role would suit an individual who enjoys working in hands-on positions, where you will roll your sleeves up and be involved in all areas of compliance, working in a standalone role.

You:

Our client is looking for someone who has previous compliance and regulatory experience, within the financial sector. You will be commercially astute, a proactive self-starter and able to work in a fast-paced environment. Engaging and energetic are qualities our client is looking for, together with the enthusiasm to drive forward this critical function in the regulated space in which they operate.

Key responsibilities within this Compliance role will include:

• Compliance Management (SMF16): Monitoring and auditing the company’s conduct and compliance needs against UK regulatory requirements; leading the development and enhancement of compliance framework including policies, procedures and processes, monitoring programmes and controls; ensuring the firm meets all regulatory obligations, reporting requirements and industry best practices and holding accountability for compliance oversight within the organisation
• Regulatory Engagement: Acting as the primary point of contact with the FCA and relevant regulatory bodies; leading FCA supervisory interactions, information requests and reviews; supporting regulatory change management and implementation of new or revised FCA rules
• Financial Crime & AML oversight (SMF17): Managing the firm’s AML and financial crime framework; overseeing financial crime compliance including AML, KYC, sanctions and transaction monitoring and suspicious activity reporting processes; ensuring effective controls are in place to mitigate financial crime risks; acting as the company’s MLRO
• Regulatory Reporting: Compiling, reviewing and submitting accurate Client Money and Asset Return (CMAR) to the FCA; performing daily/monthly reconciliations; monitoring and safeguarding client funds and escalating issues to board, when required
• Product Support: Working with management to ensure all new and existing business and product development are aligned to regulatory requirements; producing and maintaining relevant letter templates/emails, FinProm, scripts and client correspondence adhering to FCA regulations; attending project meetings and advising of best practice and conduct for all sales and service activities
• Due Diligence, Anti-bribery and Sanctions Controls: ensuring all due diligence and sanctions controls are met to a high standard of conduct and compliance.
• Reporting and Governance: Preparing detailed and informative compliance reports for executive team
• General: Working with HR to monitor all AML, TCF and other regulatory training and maintaining compliance administration and relevant reporting to FCA.

Key experience required to fulfil this role:

• Bachelor’s degree or related
• Proven experience of operating in compliance roles within FCA regulated environments
• Demonstrable experience holding SMF16 and SMF17
• Relevant professional compliance qualifications (e.g. ICA, CISI, Investment Compliance etc.)
• Strong knowledge of UK financial services regulations including FCA Handbook
• Experience within FinTech or digital financial services is highly advantageous
• Broad knowledge of risk management practices and relevant legislation and regulations
• Commercially minded with the ability to enable growth and not just control compliance and risk
• Excellent organisational skills with the ability to work effectively on a number of assignments at any one time
• Excellent communication skills with the ability to liaise at all levels and with tactful and effective customer communications
• A proactive as well as detailed and results-driven approach with a high level of professionalism
• IT literate with strong MS Excel and PowerPoint skills
• Tech savvy and eager to utilise emerging technology to support and enhance the compliance function

Interested in this Senior Compliance Officer role?

Are you an experienced Compliance Officer, looking for a new role within an FCA-regulated organisation? If so, then please submit your CV, quoting ‘AE-FCA Compliance Officer’

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