Ultimate Banking
Compliance and Financial Crime Officer
Job Location
Harlow Wood, United Kingdom
Job Description
Our well-established financial services client are at the start of an exciting journey on the transformation agenda and are looking for a Compliance and Financial Crime Officer to join the Risk and Compliance Team. It’s safe to say that no day is the same in the Risk and Compliance Team and if you are looking for a role that will provide variety and give you exposure and experience to many different facets of Compliance and Financial Crime, then look no further. In a nutshell, the role involves being a trusted adviser to the operational teams, providing expert regulatory advice, support and guidance and being key in mitigating against financial crime.
Responsibilities of the Compliance and Financial Crime Officer
* Assisting with the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly and delivering good customer outcomes, compliance with the FCA Handbook and relevant sourcebooks (including, but not limited to PRIN, MCOB, BCOBS, DISP and PERG), data security, data protection, complaints, financial crime, and any other regulation / guidance as required.
* Assisting with the interpretation of regulation / legislation in order to provide advice, support and guidance (as appropriate) to the Compliance Team and to the wider business in the implementation of regulatory / legal requirements to ensure full compliance.
* Oversight and approval of financial promotions, marketing and non-marketing literature
* Ensuring that regulatory requirements in respect of Anti Money Laundering (AML) and Countering Terrorist Financing (CTF) are complied with
* Carrying out and assisting in the recording, monitoring and reporting of all activities associated with Financial Crime (including AML/CTF and Fraud).
* Assisting the Risk and Compliance Executive and the Compliance Manager on internal and external fraud investigations.
* Deputising for the Compliance Manager
* Enhancing existing financial crime processes, identify efficiencies with consideration of the future business requirements and technological innovations.
Requirements of the Compliance and Financial Crime Officer
* Previous experience in a similar role, for example, 1st line quality assurance, 2nd line oversight, internal audit or a financial crime related role, in a Financial Services environment.
* An in depth understanding of Financial Services products, including mortgages and savings
* Knowledge of: The FCA Handbook and relevant sourcebooks
* The ability to interpret and implement regulation / legislation;
In return an excellent benefits package an active social and community agenda (2 paid days per year for community work)
Location: Harlow Wood, GB
Posted Date: 11/2/2024
Responsibilities of the Compliance and Financial Crime Officer
* Assisting with the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly and delivering good customer outcomes, compliance with the FCA Handbook and relevant sourcebooks (including, but not limited to PRIN, MCOB, BCOBS, DISP and PERG), data security, data protection, complaints, financial crime, and any other regulation / guidance as required.
* Assisting with the interpretation of regulation / legislation in order to provide advice, support and guidance (as appropriate) to the Compliance Team and to the wider business in the implementation of regulatory / legal requirements to ensure full compliance.
* Oversight and approval of financial promotions, marketing and non-marketing literature
* Ensuring that regulatory requirements in respect of Anti Money Laundering (AML) and Countering Terrorist Financing (CTF) are complied with
* Carrying out and assisting in the recording, monitoring and reporting of all activities associated with Financial Crime (including AML/CTF and Fraud).
* Assisting the Risk and Compliance Executive and the Compliance Manager on internal and external fraud investigations.
* Deputising for the Compliance Manager
* Enhancing existing financial crime processes, identify efficiencies with consideration of the future business requirements and technological innovations.
Requirements of the Compliance and Financial Crime Officer
* Previous experience in a similar role, for example, 1st line quality assurance, 2nd line oversight, internal audit or a financial crime related role, in a Financial Services environment.
* An in depth understanding of Financial Services products, including mortgages and savings
* Knowledge of: The FCA Handbook and relevant sourcebooks
* The ability to interpret and implement regulation / legislation;
In return an excellent benefits package an active social and community agenda (2 paid days per year for community work)
Location: Harlow Wood, GB
Posted Date: 11/2/2024
Contact Information
| Contact | Human Resources Ultimate Banking |
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