Compliance Officer / Analyst



* Lloyds registered broker
* Permanent
* 3 days in City & 2 days from home
* Salary - £open, depending on level of experience



To provide technical advice, guidance and solutions for compliance queries to front end teams; including, but not limited to, sanctions queries, agreement reviews, operational assistance, complaint handling, and KYC on-boarding. As well as reviewing procedures, carrying out gap analysis on new legislation and regulation and training the business in relation to conduct, conflicts and general FCA principle focused compliance

Duties and responsibilities

* Assist in the delivery of the Company's annual Compliance Monitoring Plan
* Develop and undertake second line file review work as agreed in the Compliance Monitoring Plan
* Maintain the regulatory timetable
* Assist the business as required in performing due diligence checks on all new business relationships per the company's existing policies
* Carry out Sanction Screening on a monitoring and ad-hoc basis
* Assist with the monitoring of the company's Appointed Representatives
* Submitting Applications to the FCA where required
* Work with the Compliance team with the implementation and continued monitoring of risk management framework
* Ensure company policies and procedures are in place and that these are kept up to date and reviewed
* Monitor regulatory changes pertinent to the company and enforced by the FCA and other regulatory agencies and apply to the business as appropriate
* Assist the Risk and Security Committee by providing necessary information, and assist in addresses any issues presented
* Compile reports from various sources for inclusion in management information packs
* Co-ordinate file reviews and external audits across the business

Requirements

* Experience within a compliance role, ideally from a Lloyds market background
* Conversant with the aims and requirements of the FCA including TCF and SMR
* Understanding of FCA rules in CASS, ICOBS
* Basic understanding of FATCA
* Use of FCA online systems (GABRIEL and Connect)
* Familiarity with Lloyd's processes and procedures including Crystal
* Understanding of TOBAs
* In depth knowledge of international financial sanctions
* Understanding of overseas insurance licensing
*

Ref - 8779

MW Appointments is acting as an Employment Agency in relation to this vacancy.