Compliance Monitoring & Finance Crime Officer – 8-Month FTC urgent start (Hybrid, or Remote): R[...]

Compliance Monitoring & Finance Crime Officer – 8-Month FTC urgent start (Hybrid, or Remote): Retail Wealth Management - London

The Role

Martis Search is representing a UK Retail client focused Wealth Management organisation to urgently hire a “Compliance Monitoring & Finance Crime Officer.” The role is an initial 8-month “Fixed-Term Contract” with the possibility for extension, or even permanent.

The role is based in London and is ideally hybrid, 2/3-days in the office and the rest working-from-home. Our client will also consider “fully remote” for valid reasons.

The role reports into their “Head of Compliance” and the Compliance team is small, providing an excellent opportunity to learn from a senior Compliance Manager. You will work closely with the Head of Compliance and be expected to work independently on related Compliance tasks, but under their guidance.

The company offers Financial Planning services and “Investment Management” for UK Retail clients. They have effective systems and processes, and are looking for a practical and “hands-on” Compliance Officer who can manage Compliance Monitoring checks and build good working relationships with internal stakeholders.

Responsibilities:

The majority of the role will involve:

1. Compliance Monitoring & Risk Assessments (70 %)

• Market Abuse
• Telephone calls
• Trading activity for matters such as insider dealing, market manipulation and best execution
• Gifts and Hospitality
• Transaction Reporting
• PA Dealing
• Position balances in accordance with disclosure and transparency rules and the city code on takeovers and mergers

1. Alert Management (10 %)

1. Ad-hoc Compliance tasks (20 %)

• Compliance Advisory
• Training

Key Responsibilities:

• Investigating, eliminating or escalating alerts from a financial crime risk management system [Liquid Metrix]
• Assessing and reporting any identified or potential SARs / STORs to the FCA / NCA
• Assist in investigating suspicious behaviour, such as transactions alerted via the trade surveillance system
• Periodic Monitoring across a broad range of regulatory and operational risk categories
• Undertaking Risk Control Self-Assessments and liaising with the wider business
• Daily monitoring checks using specified system reports
• Maintaining the Firm-wide Risk Policies
• Timely review and approval of financial promotions
• Assisting in compiling and responding to DSARs
• Producing regular Compliance management information
• Tracking upcoming regulatory changes and communicating them to the business
• Undertaking general administration and ad-hoc work/projects as required

Minimum Requirements:

Previous experience using the “LiquidMetrix” Compliance Monitoring system is highly advantageous, as is previous Compliance experience within UK Retail Wealth Management.

Seniority level: Associate

Employment type: Contract

Job function: Analyst and Legal

Industries: Financial Services and Investment Management