Compliance Officer

This role is focused on supporting the compliance function within a financial services firm, ensuring adherence to regulatory requirements and internal policies. The position requires strong organizational skills, attention to detail, and the ability to manage multiple tasks efficiently. The successful candidate will work closely with various teams across the company, contributing to the firm's compliance monitoring plan and maintaining key registers and documentation

Relevant Skills and Knowledge

• Strong organizational skills with close attention to detail to maintain the highest level of quality.
• Proficiency in MS Office Suite, including Excel, Word, and PowerPoint.
• Self-motivated with efficient time management skills to plan workload and prioritize accordingly.
• Ability to deploy assertiveness skills and use initiative when appropriate to build and maintain good relationships across the organization.
• Excellent interpersonal skills; able to listen and communicate effectively at all levels, with exceptional written and verbal communication abilities.
• Team player with experience working in a collaborative environment, capable of identifying and assisting others when needed.
• Tactful, trustworthy, diplomatic, and able to maintain confidentiality.
• Alignment with the organization's values and commitment to strengthening its culture.

General Responsibilities

• Comply with relevant financial services regulations and industry standards at all times.
• Adhere to compliance procedures related to Treating Customers Fairly (TCF), Training & Competence (T&C), financial crime prevention, and Anti-Money Laundering (AML).
• Stay informed about relevant products, legislative updates, and technical changes as required.
• Follow ethical standards within the organization at all times.
• Ensure all supporting documentation is maintained according to company procedures.
• Meet performance standards as required by the organization.
• Maintain accurate records of Continuing Professional Development (CPD).

Specific Responsibilities

• Maintain compliance registers, including those for Financial Promotions, UCIS promotion, high-risk clients (and review dates), and clients categorized as Elective Professional Clients.
• Manage the Compliance Task Workflow.
• Assist in identifying efficiencies and opportunities to automate tasks and processes.
• Support the completion of regulatory Compliance Monitoring Plans (CMP), covering thematic reviews and surveillance testing.
• Contribute to developing testing processes and methodologies as necessary.
• Conduct AML testing activities.
• Collaborate with relevant business areas to develop remedial actions for findings arising from compliance testing.
• Complete all documentation and reporting requirements to demonstrate the completion of reviews and tests.
• Maintain a record of findings and remedial actions, ensuring timely resolution of identified issues.
• Provide input on progress and results of CMP activities for management reports, potentially presenting significant findings to senior leadership.
• Assist with regulatory filings for UK authorities.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates