Compliance Officer

Compliance Officer

City of London / Hybrid

Permanent

£50,000 - £60,000

This is a regulatory compliance role and NOT FINANCIAL CRIME. Please only apply if you have the relevant experience within regulatory compliance, monitoring and governance.

cer Financial are working alongside an asset finance firm who are based in the City of London. They are seeking a Compliance Officer to work with them on a permanent basis.

The responsibilities of a Compliance Officer will include:

• Ensure the business achieves and maintains compliance with current and future FCA requirements.
• Develop and maintain compliance policies and training material.
• Monitor, analyse, and interpret new rules and regulations, identify and address any gaps between existing processes and new regulatory requirements.
• Conduct thematic file checks and report findings into Risk & Governance meetings.
• Review and audit marketing, policy, and external literature in line with FCA requirements.
• Help administer the Company's register of policies and procedures.
• Assist the Head of Governance in submitting FCA returns.
• Help support data protection compliance.
• Maintain the Enterprise Risk Management System, ensuring risks and controls are reviewed regularly by the respective owners.
• Ensure a monthly review is conducted of all risk incidents and prepare MI to submit into the Risk & Governance Meeting.
• Assist the Head of Governance in the preparation and submission of MI and other ad hoc tasks to the Fraud Committee, Risk & Governance Committee, and external parties.
• Overseeing data impact assessments.
• Assist the Head of Governance with Data Subject Access Requests including gathering and analysis of data.
• Assist the team in answering any financial crime queries.
• Manage conflict of interest process.
• Attend industry forums on related topics.
• Develop and maintain robust relationships with key stakeholders.

The successful Compliance Officer will have:

• A strong awareness of Conduct Risk.
• A strong understanding of Risks and Controls.
• Experience within the financial services sector and an understanding of AML policies and procedures (including sanctions, bribery and corruption).
• Good understanding of UK data protection laws and practical implications.
• Knowledge of FCA regulations.